Potomac Analytics' Logo

FINRA Awards

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

Filter by:

Sort by:

Displaying 2,051-2,060 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0310808/15/2019Claimant(s): Edwin Mendez Mendez
Claimant Lawyers(s): Juan C. Blasini Gonzalez
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Paula A. Gonzalez-Montalvo
Arbitrator(s): Dineo Coleman Gary
Hearing Site: San Juan, PR
Checkmark Icon$40,817
18-0220708/15/2019Claimant(s): Warren Pitre
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Sherry R. Wetsch, Ashley Lucile Belleau, Bertrand C. Moser
Hearing Site: New Orleans, LA
Checkmark IconExpungement
19-0046008/15/2019Claimant(s): Hennessee Family Trust
Claimant Lawyers(s): Paul C. Cox
Respondent(s): Wells Fargo Clearing Services, William Paynter
Respondent Lawyers(s): Jeffrey Rodgers
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
Checkmark IconExpungement
18-0435208/14/2019Claimant(s): Gary Meshell
Claimant Lawyers(s): Gary B. Meshell
Respondent(s): Gary Stern, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
Checkmark IconExpungement
18-0345208/13/2019Claimant(s): Rao Palanki
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Dustin Martin, Madison Avenue Securities.
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Isidoro Berkman, Mark Lee Haggard, Lorena Reynolds
Hearing Site: Portland, OR
Checkmark IconExpungement
19-0098808/12/2019Claimant(s): Ustocktrade Securities.
Claimant Lawyers(s): Francesco Matteini
Respondent(s): Jamal Woods
Respondent Lawyers(s): Jamal Woods
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
Checkmark Icon$0
18-0040008/12/2019Claimant(s): Benjamin Kwon, Castle Eurasia Corp, El Centro Acres
Claimant Lawyers(s): Benjamin Kwon
Respondent(s): Milan Konkol, MUFG Union Bank, N.A., Unionbanc Investment Services
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Thomas E. Shuck, Jack R. Goetz, Lisa Miller
Hearing Site: Los Angeles, CA
Checkmark IconDismissed by Rule 12212(c)
18-0242008/12/2019Claimant(s): Jill Morris
Claimant Lawyers(s): John L. Davis
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
Checkmark Icon$125
18-0253608/12/2019Claimant(s): Joan Mayes
Claimant Lawyers(s): Ralph W. Heninger
Respondent(s): LPL Financial LLC, Jeff Newburn
Respondent Lawyers(s): Brian Harlan, Dochtor Kennedy
Arbitrator(s): Leo G. Stern
Hearing Site: Des Moines, IA
Checkmark IconExpungement
18-0419208/12/2019Claimant(s): Kenneth Ebbe
Claimant Lawyers(s): John A. Mangones
Respondent(s): Donald Gunn, Richard Frueh, Leerink Partners LLC
Respondent Lawyers(s): Burton W. Wiand, David H. Jarvis, Lloyd S. Clareman
Arbitrator(s): Howard N. Gorney, Gene M. Bauer, Peter M Cosel
Hearing Site: Boston, MA
Checkmark IconDismissed by Rule 12206/12504

10,624 Results

Display: