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FINRA Awards

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Displaying 2,211-2,220 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0237005/01/2019Claimant(s): Lesley Mooney, Stephen Mooney, Lesley Mooney IRA R/O FCC, Stephen Mooney IRA R/O FCC
Claimant Lawyers(s): Frank A. Lightmas
Respondent(s): Christopher Anthony
Respondent Lawyers(s): Christopher Paul Anthony
Arbitrator(s): Yvette L. Nurse, Brandt Leonard Ross, Richard Jonathan Nikonovich-Kahn
Hearing Site: Atlanta, GA
Checkmark Icon$435,000
16-0149905/01/2019Claimant(s): Bruce Benna
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Michael Lavolpe
Respondent Lawyers(s): Michael Scott Lavolpe
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Des Moines, IA
Checkmark Icon$63,496
17-0185905/01/2019Claimant(s): Medhat Yacoub
Claimant Lawyers(s): Gary Menzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Scott E. Rahn
Arbitrator(s): George Herman Frisch
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
17-0059704/30/2019Claimant(s): John Everson
Claimant Lawyers(s): John O. Everson
Respondent(s): Elizabeth Halsey, Robert Lawson, Rutland Bussey
Respondent Lawyers(s): Elizabeth Ann Halsey, Rutland Walton Bussey, Seth B. Waxman
Arbitrator(s): Darryl C. Wilson
Hearing Site: Tampa, FL
Checkmark IconDismissed by Rule 12206/12504
17-0183804/30/2019Claimant(s): Joan Yurisich
Claimant Lawyers(s): Marc Fitapelli
Respondent(s): Judith Villarreal, Raymond Pett, Corecap Investments.
Respondent Lawyers(s): Jessica E. Levine
Arbitrator(s): Raymond J. Sterling, Michele Renee Zinn, William Joseph Caprathe
Hearing Site: Detroit, MI
Checkmark IconExpungement
18-0100704/29/2019Claimant(s): Carpenter Law Firm Defined Benefit Plan
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Morgan Stanley & Co., Michael Canney
Respondent Lawyers(s): Jeffrey S. Jacobi
Arbitrator(s): Lawrence R. Rute, Gerald W. Hepp, Brett Coonrod
Hearing Site: Des Moines, IA
Checkmark Icon$464,813
18-0146904/29/2019Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Garrett R. Wynne
Respondent(s): Jay Hu
Respondent Lawyers(s): Jay Z Hu
Arbitrator(s): Robert B. Hansohn, Donald Dreyfus, Sheila Grinell
Hearing Site: Las Vegas, NV
Checkmark Icon$374,735
17-0321004/26/2019Claimant(s): Tino Villanueva
Claimant Lawyers(s): Jared Febbroriello
Respondent(s): David Manor
Respondent Lawyers(s): David Manor
Arbitrator(s): Gene M. Bauer, Jeffrey Neil Fink, Catherine M. Gallagher
Hearing Site: Boston, MA
Checkmark Icon$0
18-0224304/26/2019Claimant(s): Patricia Quammie
Claimant Lawyers(s): Paul Larkin
Respondent(s): Howard Newman, Janney Montgomery Scott LLC
Respondent Lawyers(s): Matthew J. Gavaghan
Arbitrator(s): Richard S. Zaifert
Hearing Site: Jacksonville, FL
Checkmark IconExpungement
18-0414704/26/2019Claimant(s): John Chen
Claimant Lawyers(s): John S. Chen
Respondent(s): Alight Financial Solutions
Respondent Lawyers(s): Matthew Chotkowski
Arbitrator(s): Joseph H. Cerame
Hearing Site: Newark, NJ
Checkmark Icon$3,574

10,624 Results

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