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FINRA Awards

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Displaying 2,231-2,240 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0262404/19/2019Claimant(s): John Davis
Claimant Lawyers(s): John H. Davis
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): James C. Hoover
Hearing Site: Birmingham, AL
Checkmark Icon$0
15-0073404/18/2019Claimant(s): Gerald M. Butler, Jr. Family Trust, Jr. Marital Trust
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): National Securities Corporation, National Asset Management
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Marc Kalish, Kevin Edward Anthony, John P. Kelly
Hearing Site: Salt Lake City, UT
Checkmark Icon$1,145,240
17-0015704/18/2019Claimant(s): James Lloyd, Susan Lloyd
Claimant Lawyers(s): Elisabeth S. Gray
Respondent(s): First Kentucky Securities Corporation
Respondent Lawyers(s): Richard Frankowski
Arbitrator(s): George G. Kurschner, Steven Michael McCauley, Anthony G. Belak
Hearing Site: Louisville, KY
Checkmark Icon$131,032
17-0128404/18/2019Claimant(s): Vincent Kimberly Del Corso Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): John P. Cullem, David M. Snyder, Philip L. Manczak
Hearing Site: Tampa, FL
Checkmark IconExpungement
18-0009504/17/2019Claimant(s): James Carey
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Joseph I. Goldstein, Cindy L. Anderson, Mary Ann Etzler
Hearing Site: Orlando, FL
Checkmark Icon$0
18-0115704/16/2019Claimant(s): Clifford Gelman
Claimant Lawyers(s): Anthony J. Harwood
Respondent(s): Thomas Borruso
Respondent Lawyers(s): Thomas Joseph Borruso
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
Checkmark Icon$260,000
15-0320004/16/2019Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): Katherine L. Schuerman
Respondent(s): Brar Familiy Partnership, L.P.
Respondent Lawyers(s): Arthur Schwartzstein
Arbitrator(s):
Hearing Site: Norfolk, VA
Checkmark Icon$2,529,060
18-0058704/16/2019Claimant(s): Christopher Lee Gebbie
Claimant Lawyers(s): Christopher L Gebbie
Respondent(s): Christopher Halotek, Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Michael J. McCormack, Philip S. Walker, Thomas M. Madden
Hearing Site: Hartford, CT
Checkmark Icon$0
16-0115304/15/2019Claimant(s): Kenneth Lieblein, Robin Lieblein, Kenneth R. Lieblein Revocable Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Larry Wolfe, Herbert J. Sims & Co. Inc.
Respondent Lawyers(s): Daniel S. Newman, Larry C. Wolfe
Arbitrator(s): Patricia Morin, Michael J. Quarequio, S. Ronald Daniels
Hearing Site: Boca Raton, FL
Checkmark Icon$510,600
17-0326304/15/2019Claimant(s): Richard Scott
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): WesBanco Securities.
Respondent Lawyers(s): Jeffery D. Kaiser
Arbitrator(s): Susan M. Thevenet, Mary Kathleen Coleman, Peter Mark Elish
Hearing Site: Pittsburgh, PA
Checkmark IconExpungement

10,624 Results

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