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FINRA Awards for Lawrence R. Maxwell

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Displaying 21-29 out of 29 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0342503/10/2015Claimant(s): Randy Karp & Associates Defined Benefit, Randy Karp Rollover IRA
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Harry J Saginaw, Lawrence R. Maxwell, Melvin H. Wolovits
Hearing Site: Dallas, TX
Checkmark IconExpungement
12-0293610/01/2013Claimant(s): Scott Miller
Claimant Lawyers(s): Mark W. Bayer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): Daniel A. Kile, Lawrence R. Maxwell, Joseph G. Werner
Hearing Site: Dallas, TX
Checkmark Icon$96,436
12-0292009/30/2013Claimant(s): Dora Davis
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Stephanie Hrycyk, Hrycyk Financial, LLP
Respondent Lawyers(s): David B. Dyer
Arbitrator(s): William L. Cravens, Harry J Saginaw, Lawrence R. Maxwell
Hearing Site: Dallas, TX
Checkmark IconStipulated Award
12-0111201/29/2013Claimant(s): William Cleino
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Birmingham, AL
Checkmark Icon$0
08-0068706/08/2012Claimant(s): Cliff Cashman, David DeRose, Erik Langeland, James Colombo, Mike Colombo, Robert Wheless
Claimant Lawyers(s): Mark H. How
Respondent(s): Brandon Laxton, Matthew Fox, Texas Securities Partners.
Respondent Lawyers(s): Douglas C. Kittelson, Matthew W. Fox, Tony Morrison
Arbitrator(s): Louis J. Weber, Lawrence R. Maxwell, Robert G. Clark
Hearing Site: Dallas, TX
Checkmark Icon$0
09-0439101/10/2011Claimant(s): Reba Ceniglis, Tom Ceniglis
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Dale Johnson, Morgan Stanley & Co., William Atwood Jr.
Respondent Lawyers(s): James J. Fontanilla
Arbitrator(s): Sherrie R. Abney, Lawrence R. Maxwell, W. Scott Newmann
Hearing Site: Dallas, TX
Checkmark Icon$0
09-0082608/20/2010Claimant(s): Rex Glendenning, Sherese Glendenning
Claimant Lawyers(s): Howard J. Klatsky
Respondent(s): Larry Milton, Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): R. Theodore Moock, Lawrence R. Maxwell, Edward J. Lynch
Hearing Site: Dallas, TX
Checkmark IconAuction Rate Securities related
08-0343208/17/2009Claimant(s): American Capital Partners
Claimant Lawyers(s): Christopher J. Albanese
Respondent(s): Andrew Tressler, Greg Klement, Mary Klement
Respondent Lawyers(s): Bryan Forman, Christopher J. Albanese
Arbitrator(s): Robert C. Denenberg, Robert L. Chisolm, Lawrence R. Maxwell
Hearing Site: Dallas, TX
Checkmark Icon$387,960
08-0025903/09/2009Claimant(s): Jonathan Zarate
Claimant Lawyers(s): Jason A. Richardson
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Anthony William (Bill) Kashouty, Lawrence R. Maxwell, Larry N. Quinn
Hearing Site: Dallas, TX
Checkmark Icon$37,118

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