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FINRA Awards for George N. Roy

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0471302/10/2012Claimant(s): Brent Allan, Deborah Allan, Corey France Custodial, Lawrence R. Allan Custodial, Brent R. Allan IRA, Deborah B. Allan IRA, Brent Allan and Deborah Allan JTWROS, Allan Limited Partnership, Alln Family Limited Partnership, Alln Limited Partnership FBO Children, B & B Irrevocable Trust UAD 3/21/99
Claimant Lawyers(s): Michael J. Frazelle
Respondent(s): Allan Flader, Brian Flader, UBS Financial Services Inc., RBC Dain Rauscher.
Respondent Lawyers(s): Jennifer L. Meeker, Michael M. Gless, Michael Pysno
Arbitrator(s): George N. Roy, Joe S. Tarrer, Paul T. Sachs
Hearing Site: Phoenix, AZ
Checkmark IconExpungement
09-0706502/24/2011Claimant(s): Maria Henrichs
Claimant Lawyers(s): Paul J. Roshka
Respondent(s): Attila Toth
Respondent Lawyers(s): Attila Gyula Toth
Arbitrator(s): George N. Roy, Brian L Evans, Merton E. Marks
Hearing Site: Phoenix, AZ
Checkmark Icon$46,731
08-0353810/30/2009Claimant(s): Roseleen Anderson
Claimant Lawyers(s): Roseleen R. Anderson
Respondent(s): Charles Schwab & Co.., Michael Continelli
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): George N. Roy
Hearing Site: Phoenix, AZ
Checkmark Icon$110
07-0195502/06/2008Claimant(s): Ronald L. and Shelli M. Elledge
Claimant Lawyers(s): Eddie A. Pantiliat
Respondent(s): Brian Tollefson, Kevin Wittig, Edward Jones
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): George N. Roy
Hearing Site: Phoenix, AZ
Checkmark IconStipulated Award and Expungement

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