Potomac Analytics' Logo

FINRA Awards for Philip J. Glick

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

Filter by:

Sort by:

Displaying 10 out of 24 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0382907/21/2022Claimant(s): Rahul Deepankar
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Stuart D. Summers, Daniel R. Formeller, Philip J. Glick
Hearing Site: Chicago, IL
Checkmark IconExpungement
20-0363912/09/2021Claimant(s): Charles McCallum, Constance McCallum
Claimant Lawyers(s): Paul A. Albarran
Respondent(s): Bryan Tutton, Edward Jones
Respondent Lawyers(s): Roger P. Meyers
Arbitrator(s): Philip J. Glick, Hugh John Totten, Dennis C. Waldon
Hearing Site: Chicago, IL
Checkmark IconExpungement
19-0089611/23/2021Claimant(s): Steven F. Weinstock Trust DTD 10/26/09
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J Borrelli
Arbitrator(s): Philip J. Glick, Michael S. Jordan, Maya Steinitz
Hearing Site: Chicago, IL
Checkmark Icon$450,000
20-0408909/15/2021Claimant(s): Michael Braun
Claimant Lawyers(s): Michael Braun
Respondent(s): Guggenheim Funds Distributors
Respondent Lawyers(s): Christopher Antonow
Arbitrator(s): Philip J. Glick, Gerald W. Hepp, David E. Bailey
Hearing Site: Indianapolis, IN
Checkmark IconDismissed by Rule 12504(a)(6)(A)
17-0221111/25/2020Claimant(s): The Braeside Foundation
Claimant Lawyers(s): Jacob Kahn
Respondent(s): Carl Birkelbach, Nicholas Avello, Forest Securities.
Respondent Lawyers(s): Christopher Wurtzinger, James J. Moylan, Nicholas Thomas Avello
Arbitrator(s): Larry Evert Carlson, Thomas F. Ryan, Philip J. Glick
Hearing Site: Chicago, IL
Checkmark Icon$405,000
19-0179111/17/2020Claimant(s): Mohamad Alhalabi
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers, Jr
Arbitrator(s): Philip J. Glick
Hearing Site: St. Louis, MO
Checkmark IconDismissed
17-0293603/05/2020Claimant(s): Cynthia Burch
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Huntleigh Securities Corporation
Respondent Lawyers(s): Patrick Watts
Arbitrator(s): Philip J. Glick, William M. Azkoul, Sheldon Weinhaus
Hearing Site: St. Louis, MO
Checkmark Icon$750,000
17-0242001/07/2020Claimant(s): Sandra Alford, Sandra C. Alford Revocable Living Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Philip J. Glick, Albert J. Haller, Joshua Eric Lubatkin
Hearing Site: St. Louis, MO
Checkmark Icon$2,629,270
17-0125408/05/2019Claimant(s): Bin Liu, Bing Dao, Daquan Li, Fawn Lin-Moy, Folim Halaka, Hailin Yan, Hana Shenouda, Hang Yuan, Jan Cheng, Jia Liu, Jie Chen, John Pollick, Jun Zhou, Ke Zhang, Ling Li, Liping Zhong, Min Zhang, Minqi Wan, Mu Liu, Philip Zou, et al
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Sara Ng
Respondent Lawyers(s): Nancy L. Hendrickson
Arbitrator(s): Philip J. Glick, Elizabeth C. Simon, Michael R. Sherwin
Hearing Site: Chicago, IL
Checkmark IconExpungement
17-0129308/27/2018Claimant(s): LeAnn Blackwell
Claimant Lawyers(s): Raymond Daniel Faust
Respondent(s): John Whitaker, Stifel, Nicolaus & Co.., City Securities Corporation
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Thomas F. Mahoney, Philip J. Glick, Tim V. Young
Hearing Site: Indianapolis, IN
Checkmark Icon$0

24 Results

Display: