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FINRA Awards for Detroit, MI

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Displaying 11-20 out of 305 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0337802/09/2023Claimant(s): Gregory Smith, Sarah Smith
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Oppenheimer & Co.., Thomas Kruse
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Robert J. Scafuri, Mark Gregory Brackon, Kader M Alcodray
Hearing Site: Detroit, MI
Checkmark Icon$70,000
21-0106110/25/2022Claimant(s): Betty Cole, Dale Cole, Betty Cole IRAs, Dale Cole IRAs, Betty Cole Trusts, Dale Cole Trusts
Claimant Lawyers(s): David M. Black
Respondent(s): Carl Gill
Respondent Lawyers(s): Daniel Rucker
Arbitrator(s): Jeffry M. Bauer, Martin Brosnan, Sandra Franklin
Hearing Site: Detroit, MI
Checkmark IconExpungement
21-0240509/15/2022Claimant(s): Russell D. Beaufait IRA
Claimant Lawyers(s): Dietrich P. Epperson
Respondent(s): David Elrod, Sigma Financial Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Michele Renee Zinn
Hearing Site: Detroit, MI
Checkmark IconExpungement
20-0223708/16/2022Claimant(s): Mark Schultz, Wealth Management Trust
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
Checkmark IconExpungement
21-0088906/28/2022Claimant(s): Daniel Prielipp
Claimant Lawyers(s): David B. Vermont
Respondent(s): Cassandra Woodward, Liberty Partners Financial Services
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Kenneth J. Safran, O'Neal Oliver Wright, Crescenzo Christopher Scotto DiVetta
Hearing Site: Detroit, MI
Checkmark IconDismissed by Rule 12206
20-0154306/06/2022Claimant(s): Anna Hickey, Daniel Hickey, Daniel J. Hickey & Anna M. Hickey Trust
Claimant Lawyers(s): Devin W. Bone
Respondent(s): Jack McBride, B. Riley Wealth Management
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Patrick R. Sughroue, Richard Heim Foley, Michael John Falvo
Hearing Site: Detroit, MI
Checkmark Icon$0
19-0316705/12/2022Claimant(s): Estate Judith Pauley/Karen Drozdowski PR
Claimant Lawyers(s): Edward Nahhat
Respondent(s): Edward Jones, John Downey, Roger Loridon
Respondent Lawyers(s): Roger Loridon, Todd A. Holleman
Arbitrator(s): Mauricio Kohn, Gerald W. Hepp, Sandra Franklin
Hearing Site: Detroit, MI
Checkmark IconExpungement
20-0327912/31/2021Claimant(s): Jamie Taylor
Claimant Lawyers(s): D. Daxton White
Respondent(s): Concorde Investment Services
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Michele Renee Zinn, Michael James Whinihan, Suzanne L. Ulicny
Hearing Site: Detroit, MI
Checkmark IconExpungement
19-0181312/31/2021Claimant(s): Dale Hadel, Global Technology., Dale Hadel Family Trust
Claimant Lawyers(s): Mark Kowalsky
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Edward Walton
Arbitrator(s): Patrick R. Sughroue, Earlene R. Baggett-Hayes, Dale Frederick Feigley
Hearing Site: Detroit, MI
Checkmark Icon$0
19-0301412/22/2021Claimant(s): Nuha Rukieh
Claimant Lawyers(s): Dennis Murray
Respondent(s): Andrey Ilyasov, Ameriprise Financial Services
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Patrick R. Sughroue, Sandra Jo Baumchen, Sheldon Jacob Stark
Hearing Site: Detroit, MI
Checkmark Icon$0

305 Results

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