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FINRA Awards

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Displaying 1,831-1,840 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0178103/06/2020Claimant(s): Steve Carver IRA
Claimant Lawyers(s): Jeffrey S. Eisenberg
Respondent(s): Francis Lorenzo, Gregg Lorenzo, Charles Vista LLC
Respondent Lawyers(s): Francis Vincent Lorenzo, Gregg Lorenzo, Robyn D. Paster
Arbitrator(s): Charles Scott McClellan, Chris Robert Youtz, Sandra Palmer
Hearing Site: Seattle, WA
Checkmark Icon$0
17-0293603/05/2020Claimant(s): Cynthia Burch
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Huntleigh Securities Corporation
Respondent Lawyers(s): Patrick Watts
Arbitrator(s): Philip J. Glick, William M. Azkoul, Sheldon Weinhaus
Hearing Site: St. Louis, MO
Checkmark Icon$750,000
19-0025803/05/2020Claimant(s): Patricia J. Wilson Family Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Karl Foust
Respondent Lawyers(s): Karl Ronald Foust
Arbitrator(s): Todd M. Saunders, Richard Carl Smukler, Gustavo Gutierrez
Hearing Site: Boca Raton, FL
Checkmark Icon$200,000
18-0296103/05/2020Claimant(s): Charles Carson
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): G. Maynard Green, Daniel J. Pagnano, Wayne Reid Nelson
Hearing Site: Houston, TX
Checkmark IconDismissed by Rule 12206/12504
18-0384603/05/2020Claimant(s): James Bradford
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Anthony Mediate, NewBridge Securities Corp.
Respondent Lawyers(s): Anthony Mediate, Gregg J. Breitbart
Arbitrator(s): Gregory D. Hoffmann, Maurice M. Feller, Harvey R. Linder
Hearing Site: Jackson, MS
Checkmark IconDismissed by Rule 12206/12504
19-0006103/04/2020Claimant(s): Dolores Hofhine
Claimant Lawyers(s): Dolores Mary Hofhine
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): David Francis MacNair, Albert Rizzo, Noah Jonathan Hanft
Hearing Site: New York, NY
Checkmark IconDismissed by Rule 12206/12504
18-0408503/02/2020Claimant(s): Cathy Mina, IRA, Louis Mina IRA, Cathy R. Mina, Rev. Trust
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): Gary M. Landau, David P. Slater, Robert Stanley Zack
Hearing Site: Boca Raton, FL
Checkmark Icon$0
19-0130603/02/2020Claimant(s): Thomas Domke
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
Checkmark IconExpungement
18-0061302/27/2020Claimant(s): Lyle LaMothe
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Mary Lou McGanney, Terrance J. Nolan, Michael J. Fleming
Hearing Site: New York, NY
Checkmark IconDismissed by Rule 12206/12504
18-0099002/27/2020Claimant(s): Yonata Berman
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): David Andalman, PTI Securities & Futures L. P.
Respondent Lawyers(s): Glenn Seiden, Gregg Rzepczynski
Arbitrator(s): Larry Evert Carlson, Jacqueline Stanley Lustig, Bernadett R DeLise
Hearing Site: Chicago, IL
Checkmark Icon$170,700

10,624 Results

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