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FINRA Awards for Nancy J. Spieczny

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Displaying 10 out of 11 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0202912/04/2018Claimant(s): Barbara Freeman
Claimant Lawyers(s): Michael L. Kirby
Respondent(s): J.P. Morgan Securities, Vincent McGuinness
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Nancy J. Spieczny, Randall B Christison, Kevin Joseph Pilon
Hearing Site: San Diego, CA
Checkmark IconExpungement
16-0099405/24/2016Claimant(s): Isaac Organization, Joinmax Engineering Consultants, Negotiart of America.
Claimant Lawyers(s): David E. Robbins
Respondent(s): Rocco Guidicipietro
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Patricia Mary Reilly, Nancy J. Spieczny, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
Checkmark IconExpungement
14-0330904/22/2016Claimant(s): Maged Ebrahim
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Nancy J. Spieczny, Sally G. Williams, Vytas Tarulis
Hearing Site: San Diego, CA
Checkmark Icon$0
13-0143012/16/2014Claimant(s): Edward Singer, Nancy Singer, Edward S. Singer 1931 Trust dtd 1/02/31
Claimant Lawyers(s): Daniel B. Carlson
Respondent(s): G. Runnels, T.R. Winston & Company
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Nancy J. Spieczny, James J. Dobbin, Gary Patrick Poon
Hearing Site: San Diego, CA
Checkmark IconExpungement
13-0043006/11/2014Claimant(s): Agnes Barrelet, Agnes Barrelet IRA, Agnes Barrelet Trust dated 10/09/2009
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Christopher Taylor, NFP Securities.
Respondent Lawyers(s): Alexis Lu, Brandon S. Reif
Arbitrator(s): Harvey C. Flodin, Nancy J. Spieczny, Michael D. Briggs
Hearing Site: San Diego, CA
Checkmark Icon$1,246,160
13-0135512/20/2013Claimant(s): Nadia Bacon f/k/a Nadi Youssef
Claimant Lawyers(s): Nadia Youssef
Respondent(s): Wells Fargo Advisors Financial Network, Fifth Third Securities.
Respondent Lawyers(s): Deirdre Wolff, Peter J. Stautberg
Arbitrator(s): Nancy J. Spieczny
Hearing Site: San Diego, CA
Checkmark Icon$3,524
12-0085607/08/2013Claimant(s): Terri Harbison, William Harbison, Harbison Family Trust
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Daniel Laframboise, DL Wealth Managment Group
Respondent Lawyers(s): Brandon S. Reif, Kelsey Hotchkiss
Arbitrator(s): Nancy J. Spieczny, E. Milton Frosburg, Michael D. Briggs
Hearing Site: San Diego, CA
Checkmark IconExpungement
12-0100201/17/2013Claimant(s): Diane Miller, Ilene Willsey, Kathleen Schwab, Skoff North Park II LLC, Skoff Olympic Gateway Parkway LLC, Skoff Sunriver LLC, Skoff-One Hanover, Estate of Ray Skoff, Ray Skoff Trust
Claimant Lawyers(s): David I. Lefkowitz
Respondent(s): Sentra Securities Corporation
Respondent Lawyers(s): Greg Curley
Arbitrator(s): Harvey C. Flodin, Nancy J. Spieczny, E. Milton Frosburg
Hearing Site: San Diego, CA
Checkmark Icon$0
08-0382102/09/2011Claimant(s): Angela Kamahi, Isaac Kamahi
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Matthew Lord, Banc Of America Investment Services
Respondent Lawyers(s): Stephen M. Dollar
Arbitrator(s): Nancy J. Spieczny, Cynthia B. Stone, Vytas Tarulis
Hearing Site: San Diego, CA
Checkmark Icon$50,000
09-0453111/05/2010Claimant(s): Bonnie Shoultz
Claimant Lawyers(s): Julie McCawley-Self
Respondent(s): Christopher Kozo, Wachovia Securities, Joshua Billauer, Ralph Bryan, Robert Wolter
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Nancy J. Spieczny
Hearing Site: San Diego, CA
Checkmark Icon$0

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