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FINRA Awards for Scott Holcomb

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Displaying 10 out of 19 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0226009/12/2024Claimant(s): Muharrem Nezaj, 23 Hoffman LLC, 3155-3157 Villa.
Claimant Lawyers(s): Michael C. Bixby
Respondent(s): Scott Offerman, Concorde Investment Services
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Clarence Smith, Cheryl H. Agris, Elaine Shay
Hearing Site: New York, NY
Checkmark Icon$0
23-0071610/12/2023Claimant(s): Colleen Rosenberg Tod
Claimant Lawyers(s): William B. Young
Respondent(s): Cape Securities.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
Checkmark IconExpungement
22-0007508/22/2023Claimant(s): Allen Chick
Claimant Lawyers(s): David Vermont
Respondent(s): John Slipek, Joseph Amato, Nick Filippo, Alexander Capital, L.P.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Peter Khalil
Hearing Site: Portland, OR
Checkmark IconExpungement
19-0257708/10/2023Claimant(s): K&S Trust
Claimant Lawyers(s): Gary Menzer
Respondent(s): Daniel Lempe, Presidential Brokerage.
Respondent Lawyers(s): Gary Nemer, Scott Holcomb
Arbitrator(s): Charles G. Michaels, Mary C. Davis, Nicole Green
Hearing Site: Denver, CO
Checkmark Icon$0
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
20-0141504/20/2021Claimant(s): Russell Shurts
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Triad Advisors LLC, Joseph Michaletz
Respondent Lawyers(s): James A. McGovern, Scott Holcomb
Arbitrator(s): Charles G. Michaels, Marilyn R. Lewis, Eric Moutz
Hearing Site: Denver, CO
Checkmark IconExpungement
18-0398412/04/2020Claimant(s): Larry Schmalz, Robin Schmalz
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): David Spratt, Joseph Amato, Kujtim Lulani, Michael Castillero, Rocco Guidicipietro, Thomas Sullivan, Alexander Capital, L.P.
Respondent Lawyers(s): Lawrence R. Gelber, Scott Holcomb
Arbitrator(s): Royce Russell, Gerald M. Levine, Peter E. Gillespie
Hearing Site: New York, NY
Checkmark IconSettlement
19-0069112/04/2019Claimant(s): Bonnie Hatten, Karen Robinson, Richard Bloom, Richard Hatten, Bloom Energy., BB Cove
Claimant Lawyers(s): Michael A. Rollin
Respondent(s): Gregory Williams, Presidential Brokerage.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Tina Alison Davis, Brian Luther, Nicholas Jay Dale
Hearing Site: Denver, CO
Checkmark Icon$45,818
18-0275010/30/2019Claimant(s): Jerry Steelman
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Woodstock Financial Group.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Thomas Joseph Atkinson, Stephen Earl Clark, Richard Manuel Barcia
Hearing Site: Memphis, TN
Checkmark Icon$154,000
18-0442806/24/2019Claimant(s): Rocco Guidicipietro
Claimant Lawyers(s): Scott Holcomb
Respondent(s): John Maring, Laura Maring
Respondent Lawyers(s): John Maring
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
Checkmark IconExpungement

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