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FINRA Awards for Gail E. Boliver

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Displaying 10 out of 19 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0223305/31/2023Claimant(s): Phyllis Strickland
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Daryl Calton, Calton & Associates.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Barbara M. Zak, Jay H. Feldstein, Renee Bryna Gerstman
Hearing Site: Phoenix, AZ
Checkmark IconDismissed with Rule 12206
19-0240508/11/2021Claimant(s): Estate of Joseph A. Muff
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Woodbury Financial Services., Hartford Funds Distributors
Respondent Lawyers(s): Greg Curley, Keraya S. Jefferson
Arbitrator(s): Jack D. Elmquist, Alain Frecon, Michael Anthony Pysno
Hearing Site: Des Moines, IA
Checkmark Icon$100,000
18-0401402/03/2021Claimant(s): JC McCall Revocable Trust
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Carmine Berardi, Jonathan McCormack, Philip Sparacino, Robert Spiegel, William Gennity, First Standard Financial Company LLC
Respondent Lawyers(s): Craig A. Riha, Martin H. Kaplan
Arbitrator(s): Alain Frecon
Hearing Site: Des Moines, IA
Checkmark Icon$114,383
18-0100704/29/2019Claimant(s): Carpenter Law Firm Defined Benefit Plan
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Morgan Stanley & Co., Michael Canney
Respondent Lawyers(s): Jeffrey S. Jacobi
Arbitrator(s): Lawrence R. Rute, Gerald W. Hepp, Brett Coonrod
Hearing Site: Des Moines, IA
Checkmark Icon$464,813
17-0266008/30/2018Claimant(s): Jerrold Flatt
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Robert J. Scafuri, Verne R. Gray, David E. Jarvis
Hearing Site: Des Moines, IA
Checkmark IconDismissed by Rule 12206
15-0329910/26/2017Claimant(s): Estate of Jack R. Willett
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Richard A. Mosman, Terry F. Peppard, Donald N. Tolin
Hearing Site: Des Moines, IA
Checkmark IconExpungement
16-0221310/25/2017Claimant(s): Cecil & Mary Ross Revocable Trust
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Ceros Financial Services.
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s):
Hearing Site: Des Moines, IA
Checkmark Icon$0
16-0211207/28/2017Claimant(s): Carl Bergstrom
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Christopher Calandrino
Respondent Lawyers(s): Christopher John Calandrino
Arbitrator(s): Terry F. Peppard
Hearing Site: Des Moines, IA
Checkmark Icon$14,000
16-0085606/09/2017Claimant(s): Thomas Lally, Thomas C. and Nancy G. Lally Rev Trust
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Donald DeWaay, DeWaay Capital Management., DeWaay Financial Network
Respondent Lawyers(s): Donald Gene DeWaay, Donald Dewaay, Kristi Irving
Arbitrator(s): Thomas J. Gmeinder, Betty R. Crumpton, Thomas J. Duff
Hearing Site: Des Moines, IA
Checkmark Icon$880,425
15-0101911/10/2016Claimant(s): Roger Riedesel
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Michael Lavolpe
Respondent Lawyers(s): Michael Scott Lavolpe
Arbitrator(s): Avery B. Goodman
Hearing Site: Des Moines, IA
Checkmark Icon$240,300

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