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FINRA Awards

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Displaying 2,091-2,100 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0211907/17/2019Claimant(s): Matthew Maerz
Claimant Lawyers(s): Matthew Richard Maerz
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Muriel Desloovere, Alan E. Linden, H Russell Preston
Hearing Site: Columbia, SC
Checkmark Icon$0
19-0037407/17/2019Claimant(s): Larry Grooms
Claimant Lawyers(s): Bradley D Schnur
Respondent(s): Dylan Lantry
Respondent Lawyers(s): Gerald B. Kline
Arbitrator(s): Leonard M. Goldstein
Hearing Site: Denver, CO
Checkmark Icon$360
19-0048607/17/2019Claimant(s): Christopher Rego
Claimant Lawyers(s): Christopher Rego
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Alden Sharp Adkins
Hearing Site: San Francisco, CA
Checkmark Icon$0
18-0254807/16/2019Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Gilbert Serota
Respondent(s): Ki Ham
Respondent Lawyers(s): Roger D. Mellem
Arbitrator(s): Joseph C. Roberts, Katherine Hendricks, William P. Bergsten
Hearing Site: Seattle, WA
Checkmark Icon$0
17-0190807/16/2019Claimant(s): Isabel Litovich-Quintana, Jose Torres
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Jill Pilgrim, Constance P. Barr, Irlanda Ruiz
Hearing Site: Miami, FL
Checkmark Icon$3,261,420
19-0029107/16/2019Claimant(s): Gloria Martinez Torres, Julio Cay Montanez
Claimant Lawyers(s): Alfonso Fernandez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): David J. Butler, Roberto C. Quinones-Rivera
Arbitrator(s): Wayne Parker, Gerald Silverman, Virginia Lee Perez
Hearing Site: San Juan, PR
Checkmark IconDismissed by Rule 12206/12504
17-0136807/15/2019Claimant(s): Chad Greer, Jerry Trawick, Louise Trawick, Marilyn Bjornas, Michelle Greer, Richard Bjornas
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Jerry McCutchen, Richard Murphy, Ronald Brendengen, Thomas Berthel, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Peter J. McElligott
Arbitrator(s): Lita S Menkin, Mark A. Myers, Mollie Wagner Neal
Hearing Site: Atlanta, GA
Checkmark Icon$1,161,120
18-0209507/15/2019Claimant(s): Anna Tedesco, Michael Tedesco
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Jay Ambroson, Matthew Eckstein
Respondent Lawyers(s): Charles R. Jacob, Matthew Evan Eckstein
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
Checkmark Icon$1,319,080
18-0081007/15/2019Claimant(s): Clara Luna, Marcelo Luna, Clara Luna IRA, Marcelo Luna IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): IMS Securities.
Respondent Lawyers(s): Jackie Wadsworth
Arbitrator(s): Daniel P. Urban, Jeff Kilgore, Brenda Pickens Seals
Hearing Site: Houston, TX
Checkmark Icon$582,644
18-0113607/15/2019Claimant(s): Joseph Pokego, Ruth Pokego
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
Checkmark IconExpungement

10,624 Results

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