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FINRA Awards for Washington, DC

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Displaying 121-130 out of 138 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0305205/29/2009Claimant(s): Thomas Cusack
Claimant Lawyers(s): John P. Connolly
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Mary E. Woytek, Michael H. McConihe, Wilson Thompson
Hearing Site: Washington, DC
Checkmark Icon$0
08-0234704/02/2009Claimant(s): David L. Fairbairn & Leslie T. Fairbairn
Claimant Lawyers(s): Stephen D. Halfhill
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Curt H. Mueller
Arbitrator(s): Carole Rollinson, Michael H. McConihe, Stephan Paul Carrier
Hearing Site: Washington, DC
Checkmark Icon$0
08-0139403/31/2009Claimant(s): Sarah Chang
Claimant Lawyers(s): Nehemiah C. Chang
Respondent(s): Tucker Braddock, AIG Retirement Advisors.
Respondent Lawyers(s): Gerry J. Kowalski
Arbitrator(s): Paul Greenberg, Robert H. Boorman, Michael Louis Gompertz
Hearing Site: Washington, DC
Checkmark Icon$0
08-0193102/20/2009Claimant(s): Jawad N. Hammad and Deena J. Hammad, Jude J. Hammad
Claimant Lawyers(s): Jawad N. Hammad
Respondent(s): Banc of America Investment Services Inc., National Financial Services LLC
Respondent Lawyers(s): Michael G. Shannon, Russel D. Francisco
Arbitrator(s): Robert S. Plotkin, Christopher M. McMurray, Lisa Blunk Johnson
Hearing Site: Washington, DC
Checkmark Icon$0
08-0144802/06/2009Claimant(s): Lily Azmoun
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Scott & Stringfellow, Ronald Salyer
Respondent Lawyers(s): Douglas M. Palais, Ronald Leslie Salyer
Arbitrator(s): Christopher M. McMurray, Wilson Thompson, Dolores Marie Coutts
Hearing Site: Washington, DC
Checkmark Icon$100,225
07-0296712/22/2008Claimant(s): Albert Sims and Mindy Sims
Claimant Lawyers(s): Albert Sims
Respondent(s): Nancy Baker, A.G. Edwards & Sons.
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Lisa M. Mezzetti
Hearing Site: Washington, DC
Checkmark Icon$0
07-0292904/08/2008Claimant(s): David Ni
Claimant Lawyers(s): David H Ni
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Gary T. Grassey
Arbitrator(s): Maurice R. Dunie
Hearing Site: Washington, DC
Checkmark Icon$88
07-0031703/20/2008Claimant(s): John Erickson
Claimant Lawyers(s): John F. Erickson
Respondent(s): Robert Tucker
Respondent Lawyers(s): Robert Tucker
Arbitrator(s): Anne Q. Uno, Bruce Sanders, Arthur J. Wilson
Hearing Site: Washington, DC
Checkmark Icon$0
06-0536503/03/2008Claimant(s): Katherine Griffin, TTEE to Living TRST
Claimant Lawyers(s): Dan Brecher
Respondent(s): Goldman, Sachs and Company, Sofia Frankel
Respondent Lawyers(s): Brian F. McDonough, Michael J. Dell
Arbitrator(s): Bryon P. Fusini, Michael F. Halasz, Jeanne E. Libit
Hearing Site: Washington, DC
Checkmark IconExpungement
07-0193302/07/2008Claimant(s): Robert L. Kellogg & Evelyn Lea Kellogg,
Claimant Lawyers(s): Robert L Kellogg
Respondent(s): Crowell, Weedon & Co.
Respondent Lawyers(s): James R. Kruger
Arbitrator(s): Maureen Power Wilkerson
Hearing Site: Washington, DC
Checkmark Icon$12,213

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