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FINRA Awards for Vanguard Marketing Corporation

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Displaying 10 out of 21 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0261503/01/2024Claimant(s): John Jakiun
Claimant Lawyers(s): John E Jakiun
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Samantha B. Kats
Arbitrator(s): Laura A. Kaster
Hearing Site: Washington, DC
Checkmark Icon$325
23-0224402/01/2024Claimant(s): Arun Chayra
Claimant Lawyers(s): Arun Chayra
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Matthew H. Ladner
Arbitrator(s): Ralph A. Cotton
Hearing Site: San Francisco, CA
Checkmark Icon$0
22-0252512/29/2023Claimant(s): Dale Deutsch, Lou Deutsch, Dale G. Deutsch Revocable Living Trust, Lou C. Deutsch Revocable Living Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Arthur Neil Tolciss, Barry Steven Port, Mitchell Regenbogen
Hearing Site: New York, NY
Checkmark IconExpungement
23-0106609/01/2023Claimant(s): Vande Vrede Family Trust
Claimant Lawyers(s): Kenneth Vande Vrede
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Michael I. White
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Richmond, VA
Checkmark Icon$300
21-0244708/25/2023Claimant(s): Estate of Richard O. Bertschinger
Claimant Lawyers(s): Bryan J. Nowlin
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Karen Roberts Washington, Diane Shafer Goldschmidt, Brian James Tagtmeier
Hearing Site: Oklahoma City, OK
Checkmark Icon$0
22-0156505/01/2023Claimant(s): Elsayed Elnenaey
Claimant Lawyers(s): Ahmed Elnenaey
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Keely D. Parr, Jeanne M. Keefe, Eric Howard
Hearing Site: New York, NY
Checkmark IconDismissed with Rule 12206
21-0295909/19/2022Claimant(s): Yverson Alcide
Claimant Lawyers(s): Yverson Alcide
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Melinda S. Milberg, Linda J. Baer, Stephen James McLaughlin
Hearing Site: Manchester, NH
Checkmark Icon$300
20-0342402/01/2022Claimant(s): Kay Akins, Leon Akins
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Robert S. Sugarman, Elena P. Anastasiou, Lisa Sandlow Imber
Hearing Site: Chicago, IL
Checkmark IconExpungement
20-0217711/30/2021Claimant(s): Kim Reynolds
Claimant Lawyers(s): Kim Reynolds
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): William A. Barrett, William Norton, Michael A. Orticelle
Hearing Site: Augusta, ME
Checkmark Icon$0
21-0045909/30/2021Claimant(s): France David
Claimant Lawyers(s): Yves David
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Bryan Ward
Arbitrator(s): Ronald L. Cheney, Patrick W. McKeon, John James McGovern
Hearing Site: Augusta, ME
Checkmark IconDismissed by Rule 12504

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