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FINRA Awards

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Displaying 2,071-2,080 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0074508/05/2019Claimant(s): Devandra Patel, Meenakshi Patel, DMPPP
Claimant Lawyers(s): Richard Frankowski
Respondent(s): Niyukt Bhasin, NSM Securities.
Respondent Lawyers(s): Niyukt Raghu Bhasin
Arbitrator(s): Paul H. Lamboley, Michael C. Anigbogu, Michael D. Briggs
Hearing Site: Reno, NV
Checkmark Icon$0
17-0067608/05/2019Claimant(s): Juan Sequeda, Sonia Torres Subira
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
Checkmark IconExpungement
17-0125408/05/2019Claimant(s): Bin Liu, Bing Dao, Daquan Li, Fawn Lin-Moy, Folim Halaka, Hailin Yan, Hana Shenouda, Hang Yuan, Jan Cheng, Jia Liu, Jie Chen, John Pollick, Jun Zhou, Ke Zhang, Ling Li, Liping Zhong, Min Zhang, Minqi Wan, Mu Liu, Philip Zou, et al
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Sara Ng
Respondent Lawyers(s): Nancy L. Hendrickson
Arbitrator(s): Philip J. Glick, Elizabeth C. Simon, Michael R. Sherwin
Hearing Site: Chicago, IL
Checkmark IconExpungement
17-0107708/01/2019Claimant(s): Brian Leggett, Bryson Holdings
Claimant Lawyers(s): Craig H. Kuglar, Jeffrey D. Horst
Respondent(s): Jay Pickett, Wells Fargo Clearing Services
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Robert L. Lestina, Charles E. White, Scott A. Schweber
Hearing Site: Atlanta, GA
Checkmark Icon$0
17-0174408/01/2019Claimant(s): Eduardo Jimenez Emanuelli
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Popular Securities
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Andrea U. Calve, Louis David Huss, Israel O. Alicea-Luciano
Hearing Site: San Juan, PR
Checkmark IconExpungement
18-0443707/31/2019Claimant(s): Stephan Fernandez
Claimant Lawyers(s): Stephan Fernandez
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): John H. Fearnow
Hearing Site: Phoenix, AZ
Checkmark Icon$6,288
16-0047307/31/2019Claimant(s): Gregory Smyth, Mary Smyth, GPS & MCS Limited Partnership
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Fred S. Pieroni, Laura Carraher, Lynne M. Reid-McQueen
Hearing Site: New York, NY
Checkmark Icon$0
18-0253507/29/2019Claimant(s): Michael Haas
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Thomas Carroll, Summit Investment Management, LTD.
Respondent Lawyers(s): Brandon Gutschow
Arbitrator(s): Jerry D. McCormack, Lynn Hirschfeld Brahin, Jessica Gibson
Hearing Site: Milwaukee, WI
Checkmark Icon$100,000
16-0285907/26/2019Claimant(s): Christopher Engen, Kimberly Engen, NFS/FMTC IRA FBO Christopher W. Engen, NFS/FMTC IRA FBO Kimberly Engen, Bypass Trust "B" of the Restatement of, Christopher W. and Kimberly Family Trust, Survivor's Trust "A" of the Restatement
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Alphonse Calicchio, Hemant Kathuria, Peter Schiff, Robert Decker, William Mcbean, Euro Pacific Capital.
Respondent Lawyers(s): David Wechsler, Hemant Kathuria, Peter David Schiff, Peter Chema, Robert Henry Decker, William Gordon Mcbean
Arbitrator(s): Milton N. Gross, Carole Helfert Aragon, Frank Cronin
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
18-0052707/26/2019Claimant(s): Zoe Cordova-McCarthy, Liberty Lighting & Fixture Supply Co.
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Ameriprise Financial Services., Riversource Distributors.
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Brian Kimball
Hearing Site: San Francisco, CA
Checkmark IconExpungement

10,624 Results

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