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FINRA Awards

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Displaying 2,011-2,020 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0129809/19/2019Claimant(s): A. Bruce Sanborn, M. Dianne Sanborn, A. Bruce and M. Dianne Sanborn Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Robert D. Sussin, Michael M. Hachigian, Elizabeth Yang
Hearing Site: Los Angeles, CA
Checkmark Icon$0
19-0115409/18/2019Claimant(s): Sandra Cott
Claimant Lawyers(s): Sandra K. Cott
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Greg Scanlon
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
Checkmark Icon$0
19-0102309/17/2019Claimant(s): Gregory Tomlinson
Claimant Lawyers(s): Gregory Tomlinson
Respondent(s): Robinhood Financial, Robinhood Securities
Respondent Lawyers(s): Jonathan J. Brennan
Arbitrator(s): Harrison Johnson
Hearing Site: New York, NY
Checkmark Icon$180
19-0127009/17/2019Claimant(s): Rogelio Silva
Claimant Lawyers(s): Rogelio Silva
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
Checkmark Icon$0
18-0049709/16/2019Claimant(s): Guity Javid, Negeen Dehesh, Guity Javid Trust, Negeen Dehesh Trust
Claimant Lawyers(s): Grant B. Gelberg
Respondent(s): Aldo Lozano, Mark Panfil, RBC Capital Markets LLC
Respondent Lawyers(s): David Harrison, Michael M. Gless
Arbitrator(s): Edward A. Trabin, Mary M. O'Neil, Audrey Lynne Myer
Hearing Site: Los Angeles, CA
Checkmark Icon$0
19-0109909/13/2019Claimant(s): Amelia Carrion Mendez
Claimant Lawyers(s): Juan C. Blasini Gonzalez
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Mauricio O. Muniz Luciano
Arbitrator(s): Eric Ross Cromartie
Hearing Site: San Juan, PR
Checkmark Icon$3,300
17-0053709/13/2019Claimant(s): Robert LaPolla
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Garland James
Respondent Lawyers(s): Garland Sean James
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
Checkmark Icon$51,280
18-0295709/13/2019Claimant(s): James Besarkarski
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Demitry Portnoy, Joseph Alagna, Justin Giannillo, Ryan Vernoia, Stephan Stein, Steven Singer, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John E. Lawlor, Justin Giannillo, Ryan Anthony Vernoia
Arbitrator(s): Steven T. Stern
Hearing Site: New York, NY
Checkmark Icon$0
18-0408709/13/2019Claimant(s): Carlos Martinangeli
Claimant Lawyers(s): David C. Silver
Respondent(s): Gonzalo Perez-Verdia, Citigroup Global Markets.
Respondent Lawyers(s): Scott W. Atherton
Arbitrator(s): Robert G. Geeseman, Linda M. Foster-Wells, Paul J. Burkhart
Hearing Site: Boca Raton, FL
Checkmark Icon$0
19-0026909/13/2019Claimant(s): Michael Kilpatrick
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Gregory Crance, Oneamerica Securities.
Respondent Lawyers(s): Emily Sides Bonds, Julie Wilson Portera
Arbitrator(s): David Edward Upton
Hearing Site: Norfolk, VA
Checkmark Icon$0

10,624 Results

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