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FINRA Awards

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Displaying 1,261-1,270 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0044010/12/2021Claimant(s): Sheila Schwartz
Claimant Lawyers(s): David P. Meyer
Respondent(s): Thomas McDonald, McDonald Partners.
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): James Dale Ellis, Carol Jean Bader, Kevin Brodar
Hearing Site: Cleveland, OH
Checkmark Icon$360,000
20-0022110/12/2021Claimant(s): John Kirchner, Patricia Kirchner, John and Patricia Kirchner JTWROS
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Cheryl Romann
Respondent Lawyers(s): Cheryl Lynn Romann
Arbitrator(s): Jeffrey W. Jacobs, Grant D. Sanders, John M. James
Hearing Site: Minneapolis, MN
Checkmark IconExpungement
20-0364910/12/2021Claimant(s): Marilyn Lamberta-Mosca, Marilyn Lamberta-Mosca IRA, Dennis Mosca & Marilyn Lamberta-Mosca, Marilyn Lamberta-Mosca TOD
Claimant Lawyers(s): Matt E. Wolper
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Briana K. Huffer
Arbitrator(s): Howard D. Jacob, Ann Judith Gellis, Kerry-Ann Austin
Hearing Site: New York, NY
Checkmark IconExpungement
21-0089310/07/2021Claimant(s): Brian Matthews
Claimant Lawyers(s): Brian A. Matthews
Respondent(s): Morgan Stanley, Timothy Golier
Respondent Lawyers(s): Irisa Chen
Arbitrator(s): Mary Julia O'Connell
Hearing Site: New York, NY
Checkmark Icon$300
21-0102810/07/2021Claimant(s): Kurt Chana, Malesa Young
Claimant Lawyers(s): Malesa Lynn Young
Respondent(s): Brian Cobb
Respondent Lawyers(s): Wesley Holston
Arbitrator(s): John P. Cullem
Hearing Site: Orlando, FL
Checkmark Icon$18,557
21-0125610/07/2021Claimant(s): Jon Andrewjeski
Claimant Lawyers(s): Jon Andrewjeski
Respondent(s): Michael Blumer, Michael Leahy
Respondent Lawyers(s): Michael Christopher Blumer, Michael Leahy
Arbitrator(s): Bert P. Krages
Hearing Site: Seattle, WA
Checkmark Icon$48,600
18-0102010/06/2021Claimant(s): Nancy Tucker
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Steven T. Stern, Gordon M. Wase, Kerrie A. Campbell-Garrett
Hearing Site: Philadelphia, PA
Checkmark Icon$104,900
20-0415110/06/2021Claimant(s): Paul Gorsuch
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Kathleen M. Klein
Arbitrator(s): Thomas Michael Genovese
Hearing Site: Chicago, IL
Checkmark Icon$65,000
17-0311210/06/2021Claimant(s): Delia Hauser, Hauser Non-Exempt Marital Trust 12/20/96
Claimant Lawyers(s): Delia Hauser
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Sandra L. Malek, Constance Ellen Boukidis, Raelynn Napper
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
20-0163910/06/2021Claimant(s): Judith Cohen, MaxTrustDtd1/16/97 an AZ RvcbleLvgTrust
Claimant Lawyers(s): Jonah Toleno
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald Corbett
Arbitrator(s): Timothy J. Kroll, Floyd Gerry Hoffman, Ronald Stewart Ripley
Hearing Site: Phoenix, AZ
Checkmark Icon$0

10,624 Results

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