Potomac Analytics' Logo

FINRA Awards for Celeste A. Beron

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 5 out of 5 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0059806/07/2016Claimant(s): Richard Forde, RGA Forde, Godwin Fund Partners, L.P.
Claimant Lawyers(s): Brian J. Brislen
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): John A. Baynes, Frank Samuel Perri, Celeste A. Beron
Hearing Site: Charlotte, NC
Checkmark Icon$1,050,750
14-0248008/06/2015Claimant(s): Fred Anthony
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Cadaret, Grant & Co..
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Dana R. Krajack, Dana Tait Sandlin, Celeste A. Beron
Hearing Site: Columbia, SC
Checkmark IconDismissed by Rule 12206
14-0209706/09/2015Claimant(s): Joseph McGuire, Leslie McGuire
Claimant Lawyers(s): Bradd Milove, Jacob Pyle
Respondent(s): LPL Financial LLC, David Hart
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Charles F. Boufford, Celeste A. Beron, Norma Abbene
Hearing Site: Charlotte, NC
Checkmark Icon$725,000
12-0291104/15/2014Claimant(s): Iride Champion
Claimant Lawyers(s): Gary Menzer
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Celeste A. Beron
Hearing Site: Columbia, SC
Checkmark Icon$0
11-0418312/10/2013Claimant(s): Marques Douglas, Sparkle Douglas
Claimant Lawyers(s): Bruce E. Baldinger
Respondent(s): Charlene Monts, Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Financial Planning Group, Merrill Lynch Life Agency
Respondent Lawyers(s): Charlene Denise Monts, Regina P. Martorana
Arbitrator(s): Alan L. Berger, Celeste A. Beron, Michael J. Pasquale
Hearing Site: Charlotte, NC
Checkmark IconExpungement

5 Results

Display: