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FINRA Awards for Howard R. Gaines

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Displaying 10 out of 10 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0187911/08/2021Claimant(s): Karla Kretsch, The Donald & Karla Kretsch Family Trust
Claimant Lawyers(s): Jon A. Titus
Respondent(s): Guy Newman
Respondent Lawyers(s): Guy James Newman
Arbitrator(s): Howard R. Gaines, Steven M. Guttell, Carrie Lynette Thompson Jones
Hearing Site: Phoenix, AZ
Checkmark Icon$67,572
19-0046008/15/2019Claimant(s): Hennessee Family Trust
Claimant Lawyers(s): Paul C. Cox
Respondent(s): Wells Fargo Clearing Services, William Paynter
Respondent Lawyers(s): Jeffrey Rodgers
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
Checkmark IconExpungement
16-0179006/28/2017Claimant(s): Rosemarie McBride
Claimant Lawyers(s): Adam M. Green
Respondent(s): Wells Fargo Advisors Financial Network, Janet Horowitz
Respondent Lawyers(s): Alan Baskin, Judy Louie
Arbitrator(s): Howard R. Gaines, Jan Marie Mackulak, Robert S. Baran
Hearing Site: Phoenix, AZ
Checkmark IconExpungement
14-0165008/31/2016Claimant(s): Donna Horwitz as Trustee of Alex and Hel, Donna Horwitz as Trustee of Helen M. Sol
Claimant Lawyers(s): David E. Wood
Respondent(s): Burt Derman, Wells Fargo Advisors
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Howard R. Gaines, Allan Levey, Bryan Thomas Di Lella
Hearing Site: Phoenix, AZ
Checkmark IconExpungement
14-0170201/13/2015Claimant(s): Diane Anderson
Claimant Lawyers(s): Bryan Forman
Respondent(s): Wells Fargo Advisors, Jason Turetzky, A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
Checkmark Icon$0
12-0307807/01/2014Claimant(s): John S. Walker IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
Checkmark IconExpungement
11-0205210/18/2012Claimant(s): Billie Miles
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Martin S. Chester
Arbitrator(s): Howard R. Gaines, Ronald Edward Hibbing, Paul A. Cash
Hearing Site: Phoenix, AZ
Checkmark Icon$0
11-0076512/08/2011Claimant(s): The Poole Family Revocable Trust
Claimant Lawyers(s): Jennifer J. Axel
Respondent(s): Robert Carley, William Turner, Farnam Street Brokerage Company, StockCross Financial Services.
Respondent Lawyers(s): David A. Gehn, Richard N. Berkshire
Arbitrator(s): Katherine M. Harmeyer, Thomas P. Delnoce, Howard R. Gaines
Hearing Site: Phoenix, AZ
Checkmark Icon$0
08-0049906/01/2010Claimant(s): Elizabeth Fowler
Claimant Lawyers(s): Kirk Reasonover
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Andrea Morgan Greene
Arbitrator(s): Leonard E. Benade, Michael T. Nobile, Howard R. Gaines
Hearing Site: New Orleans, LA
Checkmark Icon$70,000
08-0235208/18/2009Claimant(s): Val and Lorreen Pearson JTWROS
Claimant Lawyers(s): B. Lance Entrekin
Respondent(s): Nicholas Lawson, Robert Lawson, Lawson Financial Corporation
Respondent Lawyers(s): Michael K. Freedman
Arbitrator(s): J. Noland Franz, Howard R. Gaines, Paul C. Bookidis
Hearing Site: Phoenix, AZ
Checkmark Icon$0

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