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FINRA Awards for Debra Black Leo

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Displaying 10 out of 11 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0117602/26/2024Claimant(s): Marlin Andrews
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Stifel, Nicolaus & Co.., William Humber
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Debra Black Leo, Derry Olive Wilcox, Michael Tryon
Hearing Site: Birmingham, AL
Checkmark Icon$0
18-0219506/14/2019Claimant(s): David Strickland
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Lewis Vastine Stabler, Samuel Appel, Debra Black Leo
Hearing Site: Birmingham, AL
Checkmark Icon$153,068
15-0231608/29/2018Claimant(s): Iris Burgos-Rodriguez, Jose Diaz-Burgos, Jose Diaz-Martinez, Nellie Aponte-Flecha
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Guillermo J. Bobonis, Joel M. Everest
Arbitrator(s): David Edward Upton, Debra Black Leo, Ronald L. Goss
Hearing Site: San Juan, PR
Checkmark Icon$300,000
15-0228212/19/2017Claimant(s): Olga Garcia Vincenty
Claimant Lawyers(s): Luis J. Acevedo-Bengoechea
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): David J. Butler, Salvador J. Antonetti-Stutts
Arbitrator(s): Paul Weinberg, Robert G. Falbisaner, Debra Black Leo
Hearing Site: San Juan, PR
Checkmark IconExpungement
16-0356805/23/2017Claimant(s): Jack Shewmake
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Bryce Willis, Terry Bagwell, MetLife Securities Inc.
Respondent Lawyers(s): Kathryn R. Eldridge, Mickey B. Wright, Paul M. James
Arbitrator(s): Karen Roberts Washington, Debra Black Leo, Joseph Neal Richardson
Hearing Site: Birmingham, AL
Checkmark IconDismissed by Rule 12206
14-0193603/06/2017Claimant(s): Luis Gil-Quintero, Miriam Falero-Gil
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Edward R. Niederriter, James F. Major, Debra Black Leo
Hearing Site: San Juan, PR
Checkmark Icon$0
16-0080808/04/2016Claimant(s): Udo Freyhofer
Claimant Lawyers(s): Udo H. Freyhofer
Respondent(s): Jonathon Bult, Fidelity Investments Institutional Srvcs
Respondent Lawyers(s): Deborah Gale Evans
Arbitrator(s): Debra Black Leo
Hearing Site: Birmingham, AL
Checkmark Icon$0
13-0247403/17/2016Claimant(s): Daniel Harkins
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Karla Y. Vogel, Debra Black Leo, Clarence H. Hampton
Hearing Site: Birmingham, AL
Checkmark IconExpungement
12-0230306/19/2013Claimant(s): Ahmad Shah Jalil, Shah S. Jalil C/F Maurie S. Jalil UTTMA, Shah S. Jalil C/F Sarah E. Jalil UTTMA
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): BBVA Compass Investment Solutions, Sterne, Agee & Leach.
Respondent Lawyers(s): M. Lee Johnsey, Rebecca A. Beers
Arbitrator(s): Earle J. Schwarz, Debra Black Leo, Stephen Edward Cundiff
Hearing Site: Birmingham, AL
Checkmark IconExpungement
10-0011909/20/2011Claimant(s): Delana Blake
Claimant Lawyers(s): J. Gusty Yearout
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Ryan Hamm
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Donald Milo Helton, Laree Payne Kennedy, Debra Black Leo
Hearing Site: Birmingham, AL
Checkmark Icon$190,000

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