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FINRA Awards

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Displaying 1,931-1,940 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0386312/06/2019Claimant(s): David Maturi
Claimant Lawyers(s): Jorge M. Altamirano
Respondent(s): L.O. Thomas & Co. Inc.
Respondent Lawyers(s): Marc S. Gottlieb
Arbitrator(s): Diane Ciccone, Carol H. Gold, Mark H. Stein
Hearing Site: Philadelphia, PA
Checkmark Icon$0
19-0069112/04/2019Claimant(s): Bonnie Hatten, Karen Robinson, Richard Bloom, Richard Hatten, Bloom Energy., BB Cove
Claimant Lawyers(s): Michael A. Rollin
Respondent(s): Gregory Williams, Presidential Brokerage.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Tina Alison Davis, Brian Luther, Nicholas Jay Dale
Hearing Site: Denver, CO
Checkmark Icon$45,818
18-0407912/03/2019Claimant(s): David Taylor, Kay Taylor
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowther
Arbitrator(s): Langdon T. Owen, Thomas R. Dreiling, Mark Lee Haggard
Hearing Site: Boise, ID
Checkmark Icon$0
19-0002611/29/2019Claimant(s): Sabine Miller
Claimant Lawyers(s): D. Daxton White
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Preston Spears
Arbitrator(s): Marcia Bonita Gevers
Hearing Site: Chicago, IL
Checkmark Icon$71,225
19-0077611/27/2019Claimant(s): Joanne Colgan, Thomas Colgan
Claimant Lawyers(s): Teresa J. Verges
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Mark G. Materna
Arbitrator(s): Jacquelyn M. Shannon
Hearing Site: Tampa, FL
Checkmark Icon$0
18-0082211/26/2019Claimant(s): Barbara DeMary, Joseph Ehritz, Lee DeMary, Leo Mazotas, Marianne Ehritz, Michael Simmons, Sid Haffener
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co.., Scottrade Inc., TD Ameritrade.
Respondent Lawyers(s): Gregory M. Scanlon, James J. Vihstadt
Arbitrator(s): Sidney J. Wartel, Denise Morris Hammond, Tyrone Nathaniel Watson
Hearing Site: Orlando, FL
Checkmark Icon$0
19-0022711/26/2019Claimant(s): Ethan Ruby
Claimant Lawyers(s): Ethan E Ruby
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Helm Wright
Arbitrator(s): Anna M. Fanelli, Veera V. Konka, Angela Lourdes Ortiz
Hearing Site: New York, NY
Checkmark Icon$0
18-0239111/25/2019Claimant(s): Iraida Nigaglioni
Claimant Lawyers(s): Eric Quetglas Jordan
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Daniel R. Korb, Roberto C. Quinones
Arbitrator(s): Eric Spencer Buchanan, Robert Stewart Barney, Magda M. Fernandez Torres
Hearing Site: San Juan, PR
Checkmark Icon$215,738
18-0324911/25/2019Claimant(s): Brian Toon, Joseph Sperber, Phyllis Schreiner, Ronda Montgomery
Claimant Lawyers(s): Joseph J. Sperber
Respondent(s): TD Ameritrade., E*Trade Securities LLC
Respondent Lawyers(s): James J. Vihstadt, Meredith Hoffman
Arbitrator(s): Ellen F. Kandell, Joseph J. Dougherty, Gerald S. Smith
Hearing Site: Baltimore, MD
Checkmark Icon$0
18-0385311/25/2019Claimant(s): John Winans
Claimant Lawyers(s): James S. Helfrich
Respondent(s): Michael Fassi, Centaurus Financial.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Holly Stein Sollod, Donald N. Tolin, Eric Moutz
Hearing Site: Denver, CO
Checkmark Icon$0

10,624 Results

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