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FINRA Awards for USAA Investment Management Company

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0135607/03/2018Claimant(s): Juliana Smith
Claimant Lawyers(s): Stephen J. Curley
Respondent(s): USAA Investment Management Company
Respondent Lawyers(s): Joshua Kastan
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
Checkmark Icon$62,275
16-0261108/24/2017Claimant(s): Dennis Weidenbush
Claimant Lawyers(s): Dennis Weidenbush
Respondent(s): USAA Investment Management Company
Respondent Lawyers(s): Theodore Schultz
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
Checkmark Icon$0
16-0223212/27/2016Claimant(s): Phyllis Young
Claimant Lawyers(s): Phyllis R. Young
Respondent(s): USAA Investment Management Company
Respondent Lawyers(s): Theodore C. Schultz
Arbitrator(s): Donald Dreyfus
Hearing Site: Phoenix, AZ
Checkmark Icon$21,030
15-0262510/21/2016Claimant(s): A. Kochis
Claimant Lawyers(s): A. Raymond Kochis
Respondent(s): USAA Financial Advisors., USAA Investment Management Company
Respondent Lawyers(s): Theodore C. Schultz
Arbitrator(s): Stephen D Kursman, Richard Mark Gasperini, Louis Charles Schmitt
Hearing Site: Pittsburgh, PA
Checkmark Icon$0
13-0052002/04/2014Claimant(s): Richard Zimmelman
Claimant Lawyers(s): Richard Zimmelman
Respondent(s): Benjamin St. John, Margret Carswell, Stephen Mandeville, USAA Investment Management Company
Respondent Lawyers(s): Theodore C. Schultz
Arbitrator(s): Monica I. Salis
Hearing Site: Miami, FL
Checkmark Icon$38
12-0243407/12/2013Claimant(s): Elizabeth Gandy, Steven Burrus
Claimant Lawyers(s): Bryan D. Perkins
Respondent(s): USAA Federal Savings Bank, USAA Investment Management Company
Respondent Lawyers(s): Theodore Schultz
Arbitrator(s): Robert J. Gregory, Dineo Coleman Gary, Joseph Neal Richardson
Hearing Site: Dallas, TX
Checkmark Icon$0
11-0302004/10/2013Claimant(s): Alaa Elhamrawy
Claimant Lawyers(s): Alaa Elhamrawy
Respondent(s): Optionsxpress., USAA Investment Management Company
Respondent Lawyers(s): Anthony L. Valenzuela, Theodore C. Schultz
Arbitrator(s): William I. Carmen, Jeffrey L. Frankel, Frank Sanclemente
Hearing Site: Boston, MA
Checkmark Icon$0
07-0021009/11/2007Claimant(s): Thomas Woolman
Claimant Lawyers(s): Thomas A. Woolman
Respondent(s): USAA Investment Management Company
Respondent Lawyers(s): Dennis A. Nowak
Arbitrator(s): W. Reece Bader, Maurice R. Dunie, Egon Guttman
Hearing Site: Washington, DC
Checkmark Icon$0

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