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FINRA Awards for Samuel E. Wing

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0138802/20/2014Claimant(s): C. Lewis, as Receiver
Claimant Lawyers(s): John A. Chanin
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Peter J. Macdonald
Arbitrator(s): Samuel E. Wing, Martha Wheatley Thomas, Daniel Francis Wake
Hearing Site: Denver, CO
Checkmark Icon$0
13-0140412/27/2013Claimant(s): Elizabeth Duncan, Robert Duncan
Claimant Lawyers(s): David A. Zisser
Respondent(s): Sammons Securities Company
Respondent Lawyers(s): Ryan Probstfeld
Arbitrator(s): Samuel E. Wing, Thaddeus J. Tecza, Ronald L. Lantz
Hearing Site: Denver, CO
Checkmark IconDismissed by Rule 12206
11-0207510/09/2012Claimant(s): Leprino Foods Company
Claimant Lawyers(s): Michael G. Martin
Respondent(s): BNY Mellon Capital Markets
Respondent Lawyers(s): Todd E. Gordinier
Arbitrator(s): Samuel E. Wing, Melissa Dawn Hubbard, Robert M. Fusfeld
Hearing Site: Denver, CO
Checkmark Icon$0
09-0272506/03/2010Claimant(s): Bruce Hughes, Mark F. Bryant Testamentary Trust
Claimant Lawyers(s): Thomas M. Haskins
Respondent(s): Charlotte Maier, Wells Fargo Investments
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Samuel E. Wing, Anthony B. Petrelli, Thomas L. Dueber
Hearing Site: Denver, CO
Checkmark Icon$0
08-0136102/03/2010Claimant(s): Michael Bond and Margaret Bond
Claimant Lawyers(s): Garry R. Appel
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Terry Ross
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
Checkmark Icon$244,300
09-0275212/03/2009Claimant(s): David T. Guyton, Jr., IRA, David Guyton, Jr. , TTEE Guyton Family T
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
Checkmark Icon$15,787
08-0109903/27/2009Claimant(s): Donald Demmy
Claimant Lawyers(s): Jeffrey J. Scott
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): John V. McDermott
Arbitrator(s): Samuel E. Wing, Gerald K. Moore, Mary C. Davis
Hearing Site: Denver, CO
Checkmark Icon$0
07-0289202/13/2009Claimant(s): OptionsHouse.
Claimant Lawyers(s): Milnor H. Senior
Respondent(s): James Bateman, James Leonard Bateman Roth Retirement
Respondent Lawyers(s): James Bateman
Arbitrator(s): Samuel E. Wing, John Fleming Kelly, Daniel E. Wright
Hearing Site: Denver, CO
Checkmark Icon$0

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