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FINRA Awards

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Displaying 2,141-2,150 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0372906/20/2019Claimant(s): Dulcita Segal, Focus For Health Foundation
Claimant Lawyers(s): Barry Segal
Respondent(s): Alexander Aiello, Wells Fargo Advisors
Respondent Lawyers(s): Jeffery Rodgers
Arbitrator(s): Michael Fischetti
Hearing Site: Newark, NJ
Checkmark IconExpungement
18-0205506/18/2019Claimant(s): David Hollander
Claimant Lawyers(s): Edward S. Zusman
Respondent(s): Stephen Hom
Respondent Lawyers(s): Marnie C. Lambert
Arbitrator(s): Laurel Littman Gothelf, Alden Sharp Adkins, Shahla F. Ali
Hearing Site: San Francisco, CA
Checkmark IconExpungement
18-0276306/18/2019Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Syed Ali
Respondent Lawyers(s): Syed Ali
Arbitrator(s): Elizabeth C. Simon
Hearing Site: Chicago, IL
Checkmark Icon$0
17-0279406/17/2019Claimant(s): Grace Meda
Claimant Lawyers(s): Terry M. Osgood
Respondent(s): Ernest Romer, Holly Maurer, Raymond Pett, Corecap Investments., P & R Capital LLC
Respondent Lawyers(s): Corporate President, Ernest Julius Romer, Raymond W. Henney, Steven Mellen
Arbitrator(s): Timothy J. Currier, Tracy L. Allen, JoAnn Marino
Hearing Site: Detroit, MI
Checkmark IconExpungement
18-0085206/17/2019Claimant(s): Victoria Kuo
Claimant Lawyers(s): Eileen M. Kendall
Respondent(s): Curtis Ostling, Morgan Stanley
Respondent Lawyers(s): Jeffrey S. Jacobi
Arbitrator(s): Rosa Linda Guadarrama, Lori A. Coleman, George Herman Frisch
Hearing Site: Los Angeles, CA
Checkmark Icon$0
18-0131606/17/2019Claimant(s): Israel Sporn
Claimant Lawyers(s): James P Galvin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Ruthann Granito
Arbitrator(s): Laura Carraher, Michele S. Riley, Phillip Weitzman
Hearing Site: New York, NY
Checkmark IconExpungement
18-0219506/14/2019Claimant(s): David Strickland
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Lewis Vastine Stabler, Samuel Appel, Debra Black Leo
Hearing Site: Birmingham, AL
Checkmark Icon$153,068
19-0025506/14/2019Claimant(s): Christopher Bonnevier
Claimant Lawyers(s): Christopher J. Bonnevier
Respondent(s): Robinhood Securities
Respondent Lawyers(s): Archit Shah
Arbitrator(s): Brian Michael Kane
Hearing Site: Jacksonville, FL
Checkmark Icon$163
18-0043706/13/2019Claimant(s): Cynthia Beller
Claimant Lawyers(s): James Robert Krause
Respondent(s): Allyn Donaubauer, Raymond, James & Associates.
Respondent Lawyers(s): Linda Broocks
Arbitrator(s): Louis J. Weber, Lawrence Frederick Ranallo, Richard Thomas Huston
Hearing Site: Dallas, TX
Checkmark IconExpungement
17-0124406/12/2019Claimant(s): Sandra Calderon, Bluebird Corporation
Claimant Lawyers(s): Gregg Breitbart, Osvaldo Carlo Linares
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Randi P. Spallina, Roberto C. Quinones
Arbitrator(s): Mary E. Woytek, Allan R. Lazor, Stephen Louis Wright
Hearing Site: San Juan, PR
Checkmark IconExpungement

10,624 Results

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