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FINRA Awards for Peter H. Daly

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Displaying 10 out of 31 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0278610/28/2024Claimant(s): Linda Fontanes
Claimant Lawyers(s): Kerry Lawson Pedigo
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Joseph C. Roberts, Peter H. Daly, James John Jurinski
Hearing Site: Boise, ID
Checkmark Icon$0
20-0045507/03/2024Claimant(s): Christina Aitchison, Thomas Aitchison, Christina S. Aitchison IRA Account, Thomas M. Aitchison IRA Account, TM & CS Aitchison 1998 Revocable Trust
Claimant Lawyers(s): Brandon S. Reif, Jon C. Furgison
Respondent(s): Morgan Stanley, Jim Stephenson, Nicholas Rogers
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): Ralph A. Cotton, Peter H. Daly, Kevin Francis Woodall
Hearing Site: San Francisco, CA
Checkmark IconExpungement
21-0171607/27/2022Claimant(s): Diane Jones
Claimant Lawyers(s): Scott Ira Batterman
Respondent(s): Christ Baltas, Worden Capital Management LLC, Gregory Bodkin, Jamie Worden
Respondent Lawyers(s): Charles M. O'Rourke, Christ Elias Baltas, Jamie John Worden
Arbitrator(s): Robert E. Thompson, Peter H. Daly, Kenneth W. Gosliner
Hearing Site: Honolulu, HI
Checkmark Icon$80,000
21-0127812/21/2021Claimant(s): Hajime Amaya
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Herbert Liberman, Herb Schwartz, Peter H. Daly
Hearing Site: San Francisco, CA
Checkmark IconDismissed by Rule 12206
21-0039508/13/2021Claimant(s): Michelle Legatzke IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Erinn M. Maguire
Arbitrator(s): Laurel Littman Gothelf, Peter H. Daly, Lesley Ann Troope
Hearing Site: Reno, NV
Checkmark IconDismissed by Rule 12206(b)
19-0150508/17/2020Claimant(s): Joshua Travis Anue Trust, Tenaya Laurel Anue Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Robert James Wilkie
Hearing Site: San Francisco, CA
Checkmark Icon$189,009
18-0400711/07/2019Claimant(s): Waltraud Greathouse
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Kenneth Barroga, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Peter H. Daly, Jonathan H. Krotinger, Gary S. DeWeese
Hearing Site: San Francisco, CA
Checkmark Icon$160,097
19-0008210/02/2019Claimant(s): Tom Tufts
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): First Standard Financial Company
Respondent Lawyers(s): Craig A. Riha
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
Checkmark Icon$0
17-0214608/06/2019Claimant(s): Richard McCollam
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Mary Price
Respondent Lawyers(s): Mary Kathryne Price
Arbitrator(s): Frank R Weaver, Peter H. Daly, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
Checkmark IconExpungement
18-0052707/26/2019Claimant(s): Zoe Cordova-McCarthy, Liberty Lighting & Fixture Supply Co.
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Ameriprise Financial Services., Riversource Distributors.
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Brian Kimball
Hearing Site: San Francisco, CA
Checkmark IconExpungement

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