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FINRA Awards for Douglas Earl McLaren

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Displaying 11-20 out of 30 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0335811/16/2016Claimant(s): James Deitsch
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): William Gammon, Questar Capital Corporation
Respondent Lawyers(s): Jeffrey D. Hedlund, Sean M. Golden
Arbitrator(s): Douglas Earl McLaren, Harvey Baum, Jane Tam
Hearing Site: Baltimore, MD
Checkmark IconDismissed by Rule 12206
15-0323505/06/2016Claimant(s): Eleanor Stintzcum
Claimant Lawyers(s): Eleanor L Stintzcum
Respondent(s): Ameriprise Financial Services., Louis Delaney III
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Baltimore, MD
Checkmark IconExpungement
13-0304805/13/2015Claimant(s): Yolanda Bauza
Claimant Lawyers(s): W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Kathryn Dietrich Perreault
Arbitrator(s): Janet Stern Solomon, Douglas Earl McLaren, James R. Stirn
Hearing Site: Washington, DC
Checkmark Icon$200,000
11-0416602/02/2015Claimant(s): Warren Teitelbaum
Claimant Lawyers(s): George S. Mahaffey
Respondent(s): Jay Canell, Morgan Stanley, Neil Canell
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Robert Paulger Linn, John Joseph Sullivan, Douglas Earl McLaren
Hearing Site: Washington, DC
Checkmark Icon$0
13-0333501/07/2015Claimant(s): Lucille Saunders
Claimant Lawyers(s): W. Edgar Spivey
Respondent(s): Anderson & Strudwickorporated
Respondent Lawyers(s): Wilburn Doyle
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Norfolk, VA
Checkmark Icon$0
13-0249908/21/2014Claimant(s): Amy Daniels and Wayne Daniels Joint Tena
Claimant Lawyers(s): Todd H. Lahr
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Bonnie K. Wachtel, Douglas Earl McLaren, Jean Schepers
Hearing Site: Washington, DC
Checkmark Icon$0
12-0226807/31/2014Claimant(s): Joanna Lyon, Ray Lyon
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Douglas Earl McLaren, Jonathan K. Tycko, Jane A. Smith
Hearing Site: Washington, DC
Checkmark IconExpungement
13-0001907/16/2014Claimant(s): Michael Fertich
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Sean M. Golden
Arbitrator(s): Douglas Earl McLaren, John D. Robb, Carl F. Bowmer
Hearing Site: Richmond, VA
Checkmark IconDismissed by Rule 12206
12-0136101/02/2014Claimant(s): Frank Goldstein
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea Morgan Greene
Arbitrator(s): Douglas Earl McLaren, Steven Irving Platt, Edward Alexander Jaffe
Hearing Site: Baltimore, MD
Checkmark IconExpungement
13-0002410/28/2013Claimant(s): Patricia Armstrong
Claimant Lawyers(s): James L. Kauffman
Respondent(s): Raymond James Financial Services., Morgan Stanley & Co.
Respondent Lawyers(s): Terrence A. Bostic, William A. Hohauser
Arbitrator(s): Douglas Earl McLaren, Joyce A. Mitchell, Olivia Milbank Farrar
Hearing Site: Washington, DC
Checkmark Icon$0

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