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FINRA Awards for Katherine C. Donlon

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Displaying 10 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0028205/28/2024Claimant(s): Donald Saunders, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Concourse Financial Group Securities, In
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Leah Murray Albert, Kim L. Kirn, David E. Crawford
Hearing Site: St. Louis, MO
Checkmark Icon$1,214,750
22-0081610/13/2022Claimant(s): Joel Ratzker
Claimant Lawyers(s): Joel Ratzker
Respondent(s): Transamerica Capital.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Judith C. Zerden
Hearing Site: New York, NY
Checkmark Icon$0
17-0244306/05/2018Claimant(s): Columbus- Sierra, Peter Sierra Living Trust dtd 4/15/14
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Edith N. Dinneen, Thomas Joseph Atkinson, Ronald Charles Waters
Hearing Site: Orlando, FL
Checkmark IconDismissed by Rule 12206
16-0345812/21/2017Claimant(s): Joyce Paley, Sheldon Paley
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Alison Gardner, Morgan Stanley
Respondent Lawyers(s): Katherine C. Donlon, Kimberly J. Gustafson
Arbitrator(s): Edith N. Dinneen, Maurice M. Feller, Christopher William Crowley
Hearing Site: Tampa, FL
Checkmark IconExpungement
16-0263512/07/2016Claimant(s): David Corbett, Dennis Rosene, Donald Adams, Ekeanor Reed, Elsa Rosene, Gail Fortune, Gerald Berend, Loretta Mak, Mary Wokciechowski, Stan Wojciechowski, Suvawinds., Crost Imports Inc., A.C. Family Limited Partnership
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Rory Hartley
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Morris S. Getzels, Joseph C. Watson, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
16-0263612/07/2016Claimant(s): David Corbett, Dennis Rosene, Donald Adams, Eleanor Reed, Elsa Rosene, Gail Fortune, Gerald Berend, Loretta Mak, Mary Wojciechowski, Stan Wojciechowski, Crost Imports Inc., Suvawinds, A.C. Family Limited Partnership
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Leanne Walsh
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Morris S. Getzels, Joseph C. Watson, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
14-0350307/01/2015Claimant(s): Harvey Klein, Joan Bailey
Claimant Lawyers(s): Moshe Y. Singer
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Sam Antar, Denise N. Seegobin, Steven Hale Zousmer
Hearing Site: New York, NY
Checkmark Icon$0
13-0236005/13/2014Claimant(s): Carroll Martini, Mildred Martini, Carroll Martini IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Proequities.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Douglas J. Nesbit, Kevin D. Hofman, Susan M. Sanger
Hearing Site: Minneapolis, MN
Checkmark Icon$0
11-0023902/07/2012Claimant(s): Pavonia Investments, SA (Bahamas)
Claimant Lawyers(s): John J. Muldoon
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Bernard A. Becker, Barth Satuloff, Barry David Thorpe
Hearing Site: Miami, FL
Checkmark Icon$0
10-0490410/21/2011Claimant(s): Caleb L. Batten Trust
Claimant Lawyers(s): Andre R Perron
Respondent(s): Wells Fargo Advisors, Mitchell Halperin
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): John P. Cullem, Patricia Gunn, Henry A. Tenenbaum
Hearing Site: Tampa, FL
Checkmark Icon$110,271

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