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FINRA Awards for Philip J. Glick

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Displaying 11-20 out of 24 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0071206/06/2018Claimant(s): Kirk Nelson
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Murray S. Levin, Philip J. Glick, Mary C. Davis
Hearing Site: Omaha, NE
Checkmark Icon$216,490
17-0061411/08/2017Claimant(s): Laurie Davis
Claimant Lawyers(s): Laurie B. Davis
Respondent(s): Albert Rosebush
Respondent Lawyers(s): Albert Lee Rosebush
Arbitrator(s): Philip J. Glick
Hearing Site: Chicago, IL
Checkmark Icon$0
16-0033605/17/2017Claimant(s): Kathy McKendry
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): TD Ameritrade Clearing., Kirk Spano, Bluemound Asset Management
Respondent Lawyers(s): Amanda Wright, Kirk Spano
Arbitrator(s): P. J. Boylan, David J. Hase, Philip J. Glick
Hearing Site: Milwaukee, WI
Checkmark IconStipulated Award
15-0287906/24/2016Claimant(s): Matthew Sherin
Claimant Lawyers(s): Christian M. Sande
Respondent(s): Woodbury Financial Services., Patrick O' Leary
Respondent Lawyers(s): John Rock, Ronald W. Sannicandro
Arbitrator(s): Philip J. Glick
Hearing Site: Minneapolis, MN
Checkmark Icon$300
12-0369406/20/2014Claimant(s): Clara Lenz, Friedel Lenz
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Kraig Mickelsen, Ausdal Financial Partners.
Respondent Lawyers(s): Gara Seagraves, Wendy S. Menghini
Arbitrator(s): Robert S. Sugarman, Philip J. Glick, Margaret Ann Angelucci
Hearing Site: Chicago, IL
Checkmark IconExpungement
12-0117112/20/2013Claimant(s): Patricia Loberg, Paul Loberg
Claimant Lawyers(s): Robert A. Mathers
Respondent(s): Barry Pittman, John Thomas Financial
Respondent Lawyers(s): Barry V. Pittman, Company President
Arbitrator(s): Philip J. Glick
Hearing Site: Milwaukee, WI
Checkmark Icon$132,000
12-0436812/10/2013Claimant(s): EMJ Investments
Claimant Lawyers(s): Dennis C. Waldon
Respondent(s): Eroom Securities LLC
Respondent Lawyers(s): Kevin M. Flynn
Arbitrator(s): Philip J. Glick, Mitchell Lee Marinello, Steven Edward Wollack
Hearing Site: Chicago, IL
Checkmark Icon$0
11-0262806/14/2013Claimant(s): Lutgarda Mical, Stanley Mical
Claimant Lawyers(s): Stanley J. Mical
Respondent(s): E*Trade Securities LLC, Stuart Novoselsky
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Alan E. Case, Philip J. Glick, Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
Checkmark Icon$0
11-0125602/19/2013Claimant(s): Carol Seaton, Carol A. Seaton IRA
Claimant Lawyers(s): Paul D. Malmfeldt
Respondent(s): UBS Financial Services Inc., Richard Judd
Respondent Lawyers(s): Amy B. Bard, Eric D. Brandfonbrener
Arbitrator(s): William M. Koziol, Mary Beth Wheeler, Philip J. Glick
Hearing Site: Chicago, IL
Checkmark IconExpungement
10-0503504/27/2012Claimant(s): Robert Gaynor, Custodial Or Education Savings Acct, Robert S. Gaynor IRA, Robert S. Gaynor Special Account
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): William M. Koziol, Philip J. Glick, Michael R. Sherwin
Hearing Site: Chicago, IL
Checkmark IconExpungement

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