Potomac Analytics' Logo

FINRA Awards for Shannon L. McDougald

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

Filter by:

Sort by:

Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0315910/06/2017Claimant(s): Janet Demarcke
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Phillip Multop
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): Robert M. Stein, John J. Fitzpatrick, Ian Stephen Birk
Hearing Site: Seattle, WA
Checkmark IconExpungement
14-0358901/26/2016Claimant(s): Estate of Doris Sharp
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): David Ludwig, Leif Oksenvaag, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Roxanne Sheehan
Arbitrator(s): Robert E. Meston, Philip E. Cutler, Craig Charles Beles
Hearing Site: Seattle, WA
Checkmark IconExpungement
09-0054307/16/2012Claimant(s): Robert Sapp
Claimant Lawyers(s): James K. Barbee
Respondent(s): Howard Pinson, ING Financial Partners.
Respondent Lawyers(s): Louis H. Castoria, Shannon L. McDougald
Arbitrator(s): Bryon P. Fusini, Paul Davis Pearlstein, Robert Charkovsky
Hearing Site: Washington, DC
Checkmark Icon$190,000
10-0272908/08/2011Claimant(s): Tim Joslen
Claimant Lawyers(s): David A. Sacks
Respondent(s): Gary Akiyama, Symetra Investment Services.
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): Thomas L. Reveley, Frederic E. Dorkin, T. Dennis George
Hearing Site: Seattle, WA
Checkmark Icon$293,633
09-0063404/14/2010Claimant(s): Joan Sharpless, J&J Trust
Claimant Lawyers(s): Stephen D. Phillabaum
Respondent(s): Ameriprise Financial Services., Centaurus Financial.
Respondent Lawyers(s): Courtney R. Reid, Shannon L. McDougald
Arbitrator(s): Jerome O. Cohen, Richard Lawrence Hinton, Stephen E. DeForest
Hearing Site: Seattle, WA
Checkmark Icon$58,800
06-0114911/26/2007Claimant(s): Quinault Indian Nation
Claimant Lawyers(s): Carl J. Carlson
Respondent(s): Keybanc Capital Markets Inc., David Hohimer, Michelle Hansen
Respondent Lawyers(s): Rudy Englund, Shannon L. McDougald
Arbitrator(s): Michael W. Reinhardt, John F. Cockburn, Laurie E. Law
Hearing Site: Seattle, WA
Checkmark Icon$391,766

6 Results

Display: