Potomac Analytics' Logo

FINRA Awards for National Financial Services LLC

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 11-20 out of 25 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0275907/28/2017Claimant(s): Peter Deutsch, William Deutsch
Claimant Lawyers(s): Howard Graff, Rachael Kierych
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Fred Shinagel, Paul S. Biederman, Robert E. Anderson
Hearing Site: New York, NY
Checkmark Icon$0
13-0138708/19/2014Claimant(s): Daniel Cohen, Daniel L. Cohen 1980 Irrevocable Trust
Claimant Lawyers(s): James L. Parks, Thomas J. Meagher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Eric A. Herzog, Michael G. Shannon, Trae D. Meyr
Arbitrator(s): Kenneth E. Owen, W. Alex King, Peggy Jane Fisher
Hearing Site: Los Angeles, CA
Checkmark IconDismissed by Rule 12504
10-0101111/14/2011Claimant(s): Alyssa DiRienzo, Amara DiRienzo, Cynthia Pilot, Deborah Holstein, Deborah Lutz, Frederick DiRienzo, Johanna C. & Frederick H. DiRienzo, The 1992 Irrevocable Trust for the Benef
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Colin Cookson, Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., National Financial Services LLC
Respondent Lawyers(s): Mark S. Cohen, Michael G. Shannon, Nicki Samson
Arbitrator(s): Evonne W.J. Tolbert, Alun Hywel Jones, Kevin B. Naughten
Hearing Site: New York, NY
Checkmark Icon$0
09-0718507/07/2011Claimant(s): Paul Oshideri
Claimant Lawyers(s): Paul Oshideri
Respondent(s): Frank Sanchez, Lawrence Goodkind, Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Philip W. Burge, James H. Frank, Ralph B. Perry
Hearing Site: Los Angeles, CA
Checkmark Icon$0
09-0026802/03/2011Claimant(s): Avis Nakama, Barbara Porter, Kazuko Tietz, Laureen Branch, Marjorie Parker, Melvin Aoki, Piikoi Kawananakoa, Blur Industries., Branch Holdings., Just Black, Lum Borthers, Avis Y. Nakama Trust, Barbara Porter Revocable Trust, Melvin R. Aoki Revocable Living Trust
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Clifford Popper, Ellyn Mccolgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, Travis Branch, William Betta
Respondent Lawyers(s): Brian J. Ellis, Clifford Alan Popper, H Thomas Fehn, Kevin G. Fitzgerald, Michael R. Weissman, Tracy L. Gerber, Travis Anthony Branch
Arbitrator(s): Harry B. Endsley, Harriette L. Holt, Richard Bruce Dole
Hearing Site: Honolulu, HI
Checkmark IconExpungement
09-0448412/14/2010Claimant(s): ASA Tax Advantage Relative Value Fund
Claimant Lawyers(s): Geoffrey P. Jarpe
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Bruce J. Nerland, Douglas J. Nesbit, Peter N. Thompson
Hearing Site: Minneapolis, MN
Checkmark Icon$0
08-0491208/19/2010Claimant(s): Alan Schildhorn, David LaVance, Erin Koury, Grady Hunt, Howard McNeil, Jeffrey Koury, Martha LaVance, NFS/FMTC Rollover IRA FBO Howard & Donna
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Ellyn McColgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, Ted Nelson, FMR Corporation
Respondent Lawyers(s): Brian J. Ellis, H Thomas Fehn, Kevin J. Woods, Tracy L. Gerber
Arbitrator(s): John B. Wells, Donald S. Simons, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
Checkmark IconStipulated Award and Expungement
09-0012007/22/2010Claimant(s): Arthur Taub, Carol Page, Donald Shepard, Esther Stevens, Jeffrey Stevens, Nancy Stevens, Suzanne Helgerson, Travis Bryant, Warren Helgerson, Carol A. Page Roth IRA, Arlan and Barbara Pfohl, Arlan L. & Barbara L. Pfohl Family Trus
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Ellyn McColgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, William Betta, FMR Corporation
Respondent Lawyers(s): Brian J. Ellis, H Thomas Fehn, Jason S. Pinney, Kevin K. Fitzgerald, Tracy L. Gerber
Arbitrator(s): Douglas Martin Crow, Joseph W. Cheek, Paul R. Meyer
Hearing Site: Portland, OR
Checkmark IconExpungement
08-0252912/29/2009Claimant(s): Andrew Walzer
Claimant Lawyers(s): Andrew I. Walzer
Respondent(s): Gerard Koske, Muriel Siebert & Co.., Muriel Siebert, National Financial Services LLC
Respondent Lawyers(s): Hiram D. Gordon, Michael G. Shannon
Arbitrator(s): Michael H. DuBoff, Marguerite B. Filson, Michael L. Moran
Hearing Site: New York, NY
Checkmark Icon$0
09-0250011/13/2009Claimant(s): Elizabeth Dankman
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Ellyn Mccolgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation
Respondent Lawyers(s): Alex Sabo, H. Thomas Fehn, Michael G. Shannon, Tracy L. Gerber
Arbitrator(s): Alexander I. Heckman, Peter A. Cartwright, Harold S. Stern
Hearing Site: Boca Raton, FL
Checkmark IconExpungement

25 Results

Display: