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FINRA Awards for Lawton R. Graves

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Displaying 10 out of 18 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0205308/13/2024Claimant(s): William Stone
Claimant Lawyers(s): Alex E. Rogers
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Peter George Erdely
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
22-0161907/08/2024Claimant(s): Dana Cohen, Jerome Cohen, The Estate of Jeffrey Cohen, The Ronni Cohen Trust
Claimant Lawyers(s): Coren H. Stern
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Will Murphy, Barry David Thorpe, Noah David Rubin
Hearing Site: Boca Raton, FL
Checkmark Icon$643,992
22-0289301/17/2024Claimant(s): Daniel Walter
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Richard W. Dissen
Hearing Site: Buffalo, NY
Checkmark IconExpungement
20-0418412/21/2023Claimant(s): Michael Codispoti
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Robert David Epstein, Mark A. Sipper, John William Diether
Hearing Site: Cincinnati, OH
Checkmark IconExpungement
23-0055511/08/2023Claimant(s): Rocco Carriero
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Michael Langella, Nancy Dubin
Respondent Lawyers(s): Michael S. Langella, Nancy Dubin
Arbitrator(s): Ann C. Northern, Damien Bosco, Sofia Balile
Hearing Site: New York, NY
Checkmark IconExpungement
21-0113510/25/2023Claimant(s): Yehuda Lasry
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Serge Krimnus, Andrew Daniel Levine, Cynthia Kouril
Hearing Site: New York, NY
Checkmark Icon$0
22-0297008/16/2023Claimant(s): William Durrant
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Esther Iglesias, Lucio Ojeda, Maria Ojeda
Respondent Lawyers(s): Esther Iglesias, Lucio Ojeda, Maria Ojeda
Arbitrator(s): Kathy A. Tatone, Thomas J. Patka, Caroline Josephine Welsh
Hearing Site: Tampa, FL
Checkmark IconExpungement
20-0418606/05/2023Claimant(s): Chad Tenkley IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Martin M. Van Luven
Hearing Site: Tampa, FL
Checkmark IconExpungement
21-0138405/10/2023Claimant(s): Joseph Caldwell
Claimant Lawyers(s): Joseph D. Caldwell
Respondent(s): Anjani Prabhu, Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Michael A. Orticelle
Hearing Site: Syracuse, NY
Checkmark IconExpungement
21-0299303/13/2023Claimant(s): Sheila Gambrel, The Jean O. King Trust
Claimant Lawyers(s): Robert C. Stokes
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Richard S. Zaifert, Gary E. Marcus, Carolyn E. Moore
Hearing Site: Tampa, FL
Checkmark Icon$0

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