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FINRA Awards for Andrew R. Harvin

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Displaying 11-12 out of 12 results
Case Number Award Date Case Summary Customer Case? Amount Granted
07-0231408/28/2008Claimant(s): Susan Key
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Arnold Riley, Debra Mae Stephens, Citigroup Global Markets., Michael Handlin, Ozzie Bauer, Thomas Howard, Financial Network Investment Corp., ING Financial Advisers
Respondent Lawyers(s): Andrew R. Harvin, Greg Moore, Hugo A. Hilgendorff, IV
Arbitrator(s): Leonard J. Sullivan, Jeffrey M. Aboloff, Philip I. McConnell
Hearing Site: Houston, TX
Checkmark IconStipulated Award and Expungement
07-0097905/30/2008Claimant(s): Benjamin Abney
Claimant Lawyers(s): Ira L. Edwards
Respondent(s): Sanders Morris Harris Inc.
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): Edwin E O'Brien, Van R. Oliver, Mary Day Smelser
Hearing Site: Oklahoma City, OK
Checkmark Icon$0

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