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FINRA Awards for Patricia Ann Tracey

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Displaying 11-13 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0286411/23/2010Claimant(s): Gordon W. Leech and Robbie L. Leech, Joi
Claimant Lawyers(s): J. Michael Jordan
Respondent(s): Darin Pierce, Commonwealth Financial Network
Respondent Lawyers(s): Joe Tully
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Columbia, SC
Checkmark Icon$3,425
08-0248602/03/2010Claimant(s): Clifford D. Spikes and Nancy P. Spikes
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Elizabeth Rose Aylett
Arbitrator(s): David P. McDuffee, Patricia Ann Tracey, Frank H. Livingston
Hearing Site: Raleigh, NC
Checkmark Icon$300
08-0415211/20/2009Claimant(s): Patricia Flanagan
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Patricia Ann Tracey, Thomas Lee Eubanks, John G. Shamp
Hearing Site: Columbia, SC
Checkmark Icon$185,000

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