Potomac Analytics' Logo

FINRA Awards for Peter H. Daly

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

Filter by:

Sort by:

Displaying 11-20 out of 31 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0166702/20/2019Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Mauricio Salvador Beugelmans
Respondent(s): Linda Chen, Robert Chen
Respondent Lawyers(s): Linda T. Chen, Robert K. Chen
Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Alan Richard Carlisle
Hearing Site: San Francisco, CA
Checkmark Icon$0
17-0301608/24/2018Claimant(s): Gary Grenley, Gary Grenley IRA Account
Claimant Lawyers(s): Gary I. Grenley
Respondent(s): National Securities Corporation, Tuan (Peter) Phan
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Peter H. Daly, Francis Vincent Dane, Lawrence William Andrews
Hearing Site: Portland, OR
Checkmark Icon$0
16-0224604/24/2018Claimant(s): Jacob Coronado
Claimant Lawyers(s): Henry D. Nunez
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments, Mark Nance, Michael Muller, Wells Fargo Bank National Association
Respondent Lawyers(s): Michael Joseph Gomez
Arbitrator(s): Paul J. Dubow, Peter H. Daly, Mary Margaret Bush
Hearing Site: San Francisco, CA
Checkmark Icon$181,931
17-0134103/08/2018Claimant(s): Mahnaz Daniali
Claimant Lawyers(s): Mahnaz Daniali
Respondent(s): Daniel Halsne, Wells Fargo Advisors
Respondent Lawyers(s): T.R. Bynum
Arbitrator(s): Peter H. Daly
Hearing Site: Seattle, WA
Checkmark Icon$117
16-0223112/21/2017Claimant(s): Shawn Scheuer
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Morgan Stanley, Steven Anderson
Respondent Lawyers(s): John S. Worden
Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Dennis Markham Smith
Hearing Site: Reno, NV
Checkmark Icon$663,898
16-0010009/12/2017Claimant(s): E. Clark
Claimant Lawyers(s): Thomas Clark
Respondent(s): John Francis, Maureen Bryan-Furgurson, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Howard R. Melamed, Tara A. LaClair, Thomas B. Snyder
Arbitrator(s): Peter H. Daly, Dean J. Dietrich, Marvin L. Watkins
Hearing Site: San Francisco, CA
Checkmark IconSettlement
14-0181610/04/2016Claimant(s): Barbara Padillia, Douglas Beal, Joseph Lujan, Linda Rapella, Lori Palmquist, Mae Holloway, Marjorie Gillman, Marylou Oliver
Claimant Lawyers(s): Andrew H. Schwartz, Frank F. Sommers
Respondent(s): Royal Alliance Associates., Kathleen Tarr, Richard McCollam
Respondent Lawyers(s): Paul W. Thomas, Theodore J. Sawicki
Arbitrator(s): Isidoro Berkman, Peter H. Daly, Mario Singleton
Hearing Site: San Francisco, CA
Checkmark Icon$1,933,000
16-0012101/27/2016Claimant(s): Barbara Padilla, Douglas Beal, Joseph Lujan, Linda Rapella, Lori Palmquist, Mae Holloway, Marjorie Gillman, Marylou Oliver
Claimant Lawyers(s): Frank F. Sommers
Respondent(s): Brent Wolf
Respondent Lawyers(s): Scott L. Metzger
Arbitrator(s): Alexandra M. Linden, Thomas D. Reese, Peter H. Daly
Hearing Site: San Francisco, CA
Checkmark IconExpungement
13-0197410/08/2014Claimant(s): Nancy Battel
Claimant Lawyers(s): Nancy M. Battel
Respondent(s): Aileen Low, Edward Jones, Benetech.
Respondent Lawyers(s): Jennifer M. Porter, Rene I. Gamboa
Arbitrator(s): Thomas D. Reese, Peter H. Daly, Louis Anthony Napoli
Hearing Site: San Francisco, CA
Checkmark IconExpungement
12-0288508/22/2014Claimant(s): Richard Hingley, Richard A. Hingley IRA, Richard A. Hingley 1989 Trust
Claimant Lawyers(s): Ronald E. Miller
Respondent(s): Eric Kuchel, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman, Shanna Javaheri
Arbitrator(s): Michelle Judy Brant, Peter H. Daly, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
Checkmark Icon$277,468

31 Results

Display: