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FINRA Awards for Kevin Miller

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Displaying 3 out of 3 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0511909/11/2012Claimant(s): Estate of Richard Greenfield, Anna Greenfield Trust
Claimant Lawyers(s): Anthony J. Hartman
Respondent(s): Bradley Schlang, David Spinar, Debra Hansen, Dennis King, Douglas Fehr, James Heeney, James Nagengast, Jay Idt, Securities America., Kevin Miller, Lamar Jones, Michael Perlmuter, Pamela Wertheim, Randy Schneider, Scott Cross, Scott Hoyt, Steven Mcwhorter, W. Cross, Securities America Advisors.
Respondent Lawyers(s): Burton W. Wiand, Gregory S. Kaufman
Arbitrator(s): Robert G. Conway, Gregory P. Szuter, Leroy Burton Parks
Hearing Site: Cleveland, OH
Checkmark IconExpungement
11-0264608/16/2012Claimant(s): Virginia Bond Patchen
Claimant Lawyers(s): Scott M. Hare
Respondent(s): Pershing LLC, Kevin Miller, Thomas Virostek, Northwestern Mutual Investment Services,, Northwestern Mutual Wealth Management Co, The Northwestern Mutual Life Insurance C
Respondent Lawyers(s): James A. McGovern, Joseph S.D. Christof II
Arbitrator(s): Ellen Holland Keller, Thomas H. Barnard, Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
Checkmark Icon$0
09-0670604/05/2012Claimant(s): Monica Boniadi, Robert Boniadi
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): David Vaughan, Debra Hansen, Donald Froude, Doreen Griffith, Gayle Parsons, Gregg Johnson, Ameriprise Financial Services., James Heeney, James Nagengast, Securities America., Kevin Miller, Kirk Hulett, Lamar Jones, Leon Johnson, Pamela Wertheim, Paul Huerter, Paul Lofties, Steven Mcwhorter, Terrance Dewald, Theresa James, et al
Respondent Lawyers(s): Bruce M. Bettigole, Bryan M. Ward, Burton W. Wiand, Gregory S. Kaufman
Arbitrator(s): Lester G. Stiel, Thomas J. Doherty, Mary Elizabeth Geerdes
Hearing Site: San Diego, CA
Checkmark IconExpungement

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