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FINRA Awards for Todd Ratner

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Displaying 10 out of 26 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0412602/13/2020Claimant(s): Jeffrey Walter
Claimant Lawyers(s): James L Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Michael J. Henke, Carl F. Bowmer, Javier Andres Colon Volgamore
Hearing Site: Richmond, VA
Checkmark Icon$0
18-0413312/12/2019Claimant(s): James Walter
Claimant Lawyers(s): James L. Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Carl F. Bowmer, Marcus G. Lashley, Peter H. Goldberg
Hearing Site: Richmond, VA
Checkmark Icon$0
18-0418711/22/2019Claimant(s): Ann Berger, Eric Berger
Claimant Lawyers(s): James L Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Arthur B. O'Connell, Joseph J. Dougherty, Peter H. Goldberg
Hearing Site: Richmond, VA
Checkmark Icon$0
17-0024602/14/2019Claimant(s): Walter Ryan
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): William M. Howard, Sheila Grinell, Kenneth L. Mann
Hearing Site: Phoenix, AZ
Checkmark IconExpungement
17-0099707/17/2018Claimant(s): John Williams
Claimant Lawyers(s): Ann K. Sullivan
Respondent(s): Mark Stanley, Michael Matthews, Next Financial Group.
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Robert H. Putnam, Gordon M. Wase, Donald B. Katz
Hearing Site: Norfolk, VA
Checkmark Icon$60,000
16-0127708/16/2017Claimant(s): R. B. Corbin, Jr. Trust
Claimant Lawyers(s): Richard B. Corbin
Respondent(s): Wells Fargo Advisors, Maiya Furgason
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Steven R. Rolnick, James R. Collins, Thomas Matthew Madden
Hearing Site: Providence, RI
Checkmark Icon$0
14-0289910/29/2015Claimant(s): Alaleh Banafshe and Saied Banafshe
Claimant Lawyers(s): Saied Banafshe
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Jane A. Smith
Hearing Site: Washington, DC
Checkmark Icon$0
14-0193909/21/2015Claimant(s): Donald Courville
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Capital One Investment Services LLC
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): J. Maxwell Williams
Hearing Site: New Orleans, LA
Checkmark IconExpungement
13-0204706/10/2015Claimant(s): Linnea Sams, Linnea B. Sams Revocable Living Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): National Securities Corporation, Louis Rogers
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Robert S. Zuckerman, Donald B. Katz, Michael Andrew Glasser
Hearing Site: Norfolk, VA
Checkmark IconExpungement
13-0277704/10/2015Claimant(s): Pershing LLC
Claimant Lawyers(s): Jane L. Myers
Respondent(s): Deutsche Bank Securities., Hugh Stevenson
Respondent Lawyers(s): Robert Heim, Todd Ratner
Arbitrator(s): Ann Pinciss Berman, Ernesto V. Luzzatto, Kumar Atmakuri Ram
Hearing Site: New York, NY
Checkmark Icon$0

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