Potomac Analytics' Logo

FINRA Awards for Joseph R. Soraghan

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 10 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0167806/25/2020Claimant(s): Beverly D Gitelman Revoc. Living Trust
Claimant Lawyers(s): Laura Schrick
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Paul L. Matecki, Joseph R Soraghan, David E. Crawford
Hearing Site: St. Louis, MO
Checkmark IconExpungement
19-0021907/10/2019Claimant(s): Lynn Deane
Claimant Lawyers(s): Lynn Deane
Respondent(s): Nir Regev
Respondent Lawyers(s): Nir Regev
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
Checkmark Icon$600
17-0217909/13/2018Claimant(s): Margaret Higginbotham, The Margaret C. Higginbotham Trust
Claimant Lawyers(s): David Meyer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy Winer
Arbitrator(s): Robert J. Scafuri, Joseph R. Soraghan, Sarah R. Cole
Hearing Site: Columbus, OH
Checkmark IconExpungement
14-0001712/22/2016Claimant(s): Robert McCrary, Robert L. McCrary, IRA
Claimant Lawyers(s): Martin M. Green
Respondent(s): Stifel, Nicolaus & Co.., Neil Harrison, Roger Compton
Respondent Lawyers(s): James C. Browning, Jr., Neil R. Harrison
Arbitrator(s): Robert J. Gryzmala, Joseph R. Soraghan, Albert J. Haller
Hearing Site: St. Louis, MO
Checkmark Icon$25,884
15-0007406/16/2016Claimant(s): Mark Schroeder
Claimant Lawyers(s): Chad C. Beaver
Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors, Jeffrey Holloway, First Clearing, Sean Harman, Timothy Tadlock, Holloway and Harman Capital Management,
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph R. Soraghan, Michael D. Fitzgerald, Dennis Shrewsbury
Hearing Site: Kansas City, MO
Checkmark Icon$423,770
13-0337512/29/2015Claimant(s): Leda Sander, Georgetown Mortgage Corp., Sandra E. Sander IRA, Georgetown Mortgage Corp Profit Sharing, Harry Sander Trust, Sandra E. Sander Rev. Trust
Claimant Lawyers(s): Allen P. Press
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Michael L. Lyons, Joseph R. Soraghan, M. Eileen Dorsey
Hearing Site: St. Louis, MO
Checkmark Icon$0
15-0065612/21/2015Claimant(s): Dolores Ottenad, William Ottenad
Claimant Lawyers(s): William L. Ottenad
Respondent(s): Stifel, Nicolaus & Co.., Phillip Carapella
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
Checkmark Icon$12,800
14-0034602/26/2015Claimant(s): Davin Wenner
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Robert J. Gryzmala, Joseph R. Soraghan, Frederick Michael Switzer
Hearing Site: St. Louis, MO
Checkmark Icon$0
14-0018902/10/2015Claimant(s): Revocable Trust Agreement of RW&SH Herr
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
Checkmark Icon$94,500
11-0292703/23/2012Claimant(s): Philip Paul
Claimant Lawyers(s): Philip Craig Paul
Respondent(s): Wachovia Securities Inc., Sam Macaluso
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
Checkmark IconExpungement

13 Results

Display: