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FINRA Awards for Kathleen K. Murphy

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Displaying 9 out of 9 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0097209/25/2017Claimant(s): John Patterson, Stella Patterson, John Patterson and Stella Patterson
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Ladenburg Thalmann & Co. Inc.
Respondent Lawyers(s): Michael D. Handelsman
Arbitrator(s): Gordon M. Wase, Kathleen K. Murphy, John James McGovern
Hearing Site: Philadelphia, PA
Checkmark Icon$358,200
16-0219003/29/2017Claimant(s): Randy Mims, IRA
Claimant Lawyers(s): Randy Mims
Respondent(s): Gregory Kuhn
Respondent Lawyers(s): Joel Davidson
Arbitrator(s): Rafael A. Porrata-Doria, Kathleen K. Murphy, Leo J. Karwejna
Hearing Site: Philadelphia, PA
Checkmark Icon$0
12-0410405/20/2014Claimant(s): William Ey
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Brian Allen, RBC Wealth Management
Respondent Lawyers(s): Brian Joseph Allen, Dennis C. Dice
Arbitrator(s): Alan J. Blocher, Kathleen K. Murphy, William J. Hirsch
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
09-0477103/13/2013Claimant(s): Athena Venture Partners, L.P.
Claimant Lawyers(s): David R. Moffitt
Respondent(s): Goldman, Sachs and Company, Eric Gettleman, Scott Sheffer
Respondent Lawyers(s): Edward M. Posner
Arbitrator(s): Edward T. Borer, Kathleen K. Murphy, Demetrio S. Timban
Hearing Site: Philadelphia, PA
Checkmark Icon$0
10-0040809/28/2011Claimant(s): Robert Bryan
Claimant Lawyers(s): Anthony Cillo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Richard W. Dissen, Kathleen K. Murphy, Albert Joseph Boucek
Hearing Site: Pittsburgh, PA
Checkmark Icon$0
09-0576208/16/2011Claimant(s): Michael Young
Claimant Lawyers(s): Paula D. Shaffner
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Jason Fedo
Arbitrator(s): Kathleen K. Murphy, Edward F. Koren, James T. McLaughlin
Hearing Site: Philadelphia, PA
Checkmark Icon$804,450
09-0075901/06/2011Claimant(s): Rhonda Waksman
Claimant Lawyers(s): Richard W. Kelly
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Jayme L. Butcher
Arbitrator(s): Kathleen K. Murphy, Michael D. McDowell, Elena M. Colianni
Hearing Site: Pittsburgh, PA
Checkmark Icon$40,323
09-0506411/01/2010Claimant(s): Diane Reynolds
Claimant Lawyers(s): Richard De Vita
Respondent(s): David Dube, Peak Securities Corporation
Respondent Lawyers(s): David W. Dube, David Dube
Arbitrator(s): Debra G. Speyer, Kathleen K. Murphy, Peter L. Marco
Hearing Site: Philadelphia, PA
Checkmark Icon$450,330
08-0346810/22/2010Claimant(s): Elizabeth Navarra, Josephine Liberta, Nina Craig, Rosalie Dalesio, James and Dorothy Visconti, Katherine and William Capewell, Paul and Angela Ortman, Randall and Maryellen Schell, Robert and Dorothy Heck, Steven and Shirley Kulchinsky
Claimant Lawyers(s): E. McCord Clayton
Respondent(s): Ameriprise Financial Services., Jeffrey Southard, GunnAllen Financial.
Respondent Lawyers(s): Brett A. Berman, Jeffery Joseph Southard, Marc Ellis
Arbitrator(s): Dale A. Pope, Kathleen K. Murphy, Walter R. Milbourne
Hearing Site: Philadelphia, PA
Checkmark Icon$1,866,900

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