Potomac Analytics' Logo

FINRA Awards for Brian G. Mooney

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

Filter by:

Sort by:

Displaying 3 out of 3 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0259402/23/2018Claimant(s): Carol Rizzo
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Lloyd R. Schwed
Arbitrator(s): Brian G. Mooney, Nicholas John Taldone, Ian S. Greig
Hearing Site: Tampa, FL
Checkmark Icon$0
12-0328404/15/2014Claimant(s): Christa Collins, Justus Essman
Claimant Lawyers(s): Adam T. Rabin
Respondent(s): LPL Financial LLC, UVEST Financial Services Group.
Respondent Lawyers(s): Peter W. Howell, Sara B. Davis
Arbitrator(s): Brian G. Mooney, Edith N. Dinneen
Hearing Site: Tampa, FL
Checkmark IconExpungement
07-0191208/11/2008Claimant(s): The Estate of Leonard D. Miles,, Marian J. Miles IRA, Leonard D. Miles and Marian J. Miles, Marian J. Miles Family Trust
Claimant Lawyers(s): William B. Young
Respondent(s): MidSouth Capital.
Respondent Lawyers(s): Thomas R. Todd, Jr
Arbitrator(s): Brian G. Mooney, Robert L. Hudson, Glenn W. Wheelock
Hearing Site: Orlando, FL
Checkmark Icon$225

3 Results

Display: