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FINRA Awards for Stuart H. Dunn

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Displaying 10 out of 12 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0335610/06/2017Claimant(s): George Mirmelstein
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Anthony Branca, Barry Kiront, David Wolk, Richard Catherall, Stephen Kiront, William Raike, Woodstock Financial Group.
Respondent Lawyers(s): Alan Wolper, David Robert Wolk, Martin P. Unger, Richard E. Catherall
Arbitrator(s): Stuart H. Dunn, Janice L. Burnham, Harold Craig Cohen
Hearing Site: Norfolk, VA
Checkmark Icon$0
16-0033308/15/2017Claimant(s): Michael Darius, Miriam Darius
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Stuart H. Dunn, Tina E. Patterson, Eileen B. Vernon
Hearing Site: Charleston, WV
Checkmark Icon$0
14-0142004/22/2015Claimant(s): Daniel Knopp, Greg Warnock, Rita Hayes, Shawn Hayes
Claimant Lawyers(s): Edward B. Lowry
Respondent(s): James Crawford, Neal Woodard
Respondent Lawyers(s): Kevin M. Rose
Arbitrator(s): Stuart H. Dunn, W. Scott Greco
Hearing Site: Richmond, VA
Checkmark Icon$280,300
13-0246803/27/2015Claimant(s): Estate of William Gardner
Claimant Lawyers(s): John H. Griffing
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Stuart H. Dunn
Hearing Site: Charlotte, NC
Checkmark IconExpungement
12-0276602/17/2015Claimant(s): Glen Lyon Long-Term Options
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Interactive Brokers Llc
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Stuart H. Dunn, Carl F. Bowmer, Peter H. Goldberg
Hearing Site: Richmond, VA
Checkmark Icon$666,618
12-0164907/16/2013Claimant(s): Dorie J. Hairfield, IRA, Edmond F. Christian, Richard E. Hairfield
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): James Cosby
Arbitrator(s): Stuart H. Dunn, Jane C. Carney, Norman L. Hancock
Hearing Site: Richmond, VA
Checkmark Icon$817,116
11-0431104/11/2013Claimant(s): Trudi Claus
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Princor Financial Services Corporation
Respondent Lawyers(s): Rebecca B. Rothmann
Arbitrator(s): Stuart H. Dunn, Carl F. Bowmer, Michael J. Pasquale
Hearing Site: Richmond, VA
Checkmark IconExpungement
10-0569210/18/2011Claimant(s): Pamela Poole, Pamela H. Poole IRA, Pamela H. Poole Roth IRA
Claimant Lawyers(s): Todd Ratner
Respondent(s): Overton Graham, RBC Capital Markets LLC
Respondent Lawyers(s): James Cosby
Arbitrator(s): William C. Boinest, Stuart H. Dunn, Leon Henderson
Hearing Site: Richmond, VA
Checkmark Icon$0
10-0349209/16/2011Claimant(s): Avis E. Wyland
Claimant Lawyers(s): Edward B. Lowry
Respondent(s): Community Bankers Securities
Respondent Lawyers(s): Steven S. Biss
Arbitrator(s): Stuart H. Dunn, Dawn H. DeHart, Pauline Elkins Rosenstein
Hearing Site: Richmond, VA
Checkmark Icon$116,750
08-0425006/12/2009Claimant(s): Charlotte Comfort
Claimant Lawyers(s): Charlotte Comfort
Respondent(s): Ing Direct Securities Inc., Sharebuilder Securities Corporation
Respondent Lawyers(s): C. Dean Little
Arbitrator(s): Stuart H. Dunn, Frank Warren Moore, Roderick B. Mathews
Hearing Site: Richmond, VA
Checkmark Icon$0

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