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FINRA Awards for Daniel J. Broxup

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Displaying 7 out of 7 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0062404/04/2022Claimant(s): Laurita P. Chmielewski Revocable Trust
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): James Flynn, Voya Financial Advisors.
Respondent Lawyers(s): James Travis Flynn, Steven Mellen
Arbitrator(s): Carl Henry Perdue, Peter Shapiro, Joanne Colbert Stanley
Hearing Site: Boca Raton, FL
Checkmark Icon$323,365
20-0233312/10/2020Claimant(s): Michael Suchowski, Roxie Suchowski
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
Checkmark Icon$300
18-0120408/19/2020Claimant(s): Catherine C Meiresonne IRA, Michael L Meiresonne IRA, Industrial Quick Search DBP
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): Regal Securities.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Matthew W. Schlegel, Gerald W. Hepp, Sandra Franklin
Hearing Site: Detroit, MI
Checkmark Icon$0
18-0219911/08/2018Claimant(s): Danny Wrubel, Josephine Marion, Julie Ferrario, Julie Vipond, Karen Fell, Marilynn Peterson, Shirely Maiuri, Teresa Wrubel, Travis Peterson, Danny J. Wrubel IRA, Marilynn L. Person, IRA, Ferrario Family Revocable Trust, Marilynn L. Peterson Revocable Trust, Marion Family Living Trust, Marion Irrevocable Trust, Shirley A. Maiuri
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): Jackie Wadsworth, IMS Securities.
Respondent Lawyers(s): Jackie D. Wadsworth, Jackie Wadsworth
Arbitrator(s): Patrick R. Sughroue, Edward A. Porter, Mark Gregory Brackon
Hearing Site: Detroit, MI
Checkmark Icon$1,019,210
16-0361712/19/2017Claimant(s): John Hollenbeck, Lucille Hollenbeck
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): RBC Capital Markets LLC, Martin Olson
Respondent Lawyers(s): Eric D. Brandonbrener
Arbitrator(s): Stephen D Kursman, Jonathan Edward Maire, Arthur James Rubiner
Hearing Site: Detroit, MI
Checkmark Icon$250,000
16-0177608/28/2017Claimant(s): Roy Gruenburg
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): Anthony Mastroianni
Respondent Lawyers(s): Martin S. Siegel
Arbitrator(s): Barry Goldman, A. Robert Stevenson, Lisa Sue Fildes
Hearing Site: Detroit, MI
Checkmark Icon$540,000
16-0052210/06/2016Claimant(s): Susan Holland
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): James Kraatz
Respondent Lawyers(s): Lisa M. Serra
Arbitrator(s): Timothy J. Currier
Hearing Site: Detroit, MI
Checkmark Icon$0

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