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FINRA Awards

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Displaying 2,271-2,280 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0257803/27/2019Claimant(s): William Moultrie
Claimant Lawyers(s): William A. Moultrie
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): James J. Stamos
Hearing Site: Chicago, IL
Checkmark Icon$0
17-0286003/25/2019Claimant(s): George Lawlor
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): William H. Morley, Jon Martino, Susan Romano
Hearing Site: New York, NY
Checkmark IconDismissed by Rule 12206
17-0260403/25/2019Claimant(s): Kathy Engberg
Claimant Lawyers(s): Kathy Engberg
Respondent(s): Wells Fargo Advisors, Richard Dunagan
Respondent Lawyers(s): T.R. Bynum
Arbitrator(s): Frank M. Romano, Thomas A. Martin, Eric R. Benton
Hearing Site: Houston, TX
Checkmark Icon$0
17-0133503/22/2019Claimant(s): UTMA Accounts Ending 383 and 385, Wendy A. Davies Revocable Trust 3-16-07
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Ray J. Grzebielski, Alfonso Cobb
Hearing Site: Chicago, IL
Checkmark IconExpungement
16-0178403/22/2019Claimant(s): Anne Grey
Claimant Lawyers(s): Evan H. Frederick
Respondent(s): Anthony Grey, Sterne, Agee & Leach.
Respondent Lawyers(s): Julie W. Portera, Phillip J. Snyderburn
Arbitrator(s): Susanne J. Hollander, Kenrick Albert Pratt, Lynn Francia Nelson
Hearing Site: Orlando, FL
Checkmark Icon$400,000
18-0300603/22/2019Claimant(s): Howard Siegel
Claimant Lawyers(s): Howard Siegel
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Thomas E. Shuck
Hearing Site: Las Vegas, NV
Checkmark Icon$0
17-0247303/21/2019Claimant(s): Betty Steinhorn TOD, Michael Steinhorn, Robert Steinhorn
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
Checkmark Icon$24,000
18-0145103/21/2019Claimant(s): Gallina Family Investments
Claimant Lawyers(s): Charles W HIll
Respondent(s): Wells Fargo Clearing Services, Nathan Hooker
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Stuart K. Furman, Earle J. Schwarz, Frank S. Cantrell
Hearing Site: Memphis, TN
Checkmark Icon$0
17-0123003/20/2019Claimant(s): Richard Malouf, Stephanie Malouf, Gavin J. Malouf, Richard J. Malouf II, Sunny N. Malouf, Richard John Malouf IRA, Stephenie Leanne Malouf IRA, 2009 Strait Lane Family LP, RJM 2008 Irrevocable Trust, Richard John Malouf II Trust, Stephenie L. Malouf TTEE U/A
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Monteiro
Arbitrator(s): Mark L. Williams, Mary Elizabeth Skelnik, Zachary Charles Haston
Hearing Site: Dallas, TX
Checkmark IconExpungement
18-0088603/20/2019Claimant(s): Audrey Lucker
Claimant Lawyers(s): George C. Zumbano
Respondent(s): David Dorsett, Capital & Security Management
Respondent Lawyers(s): David G. Dorsett
Arbitrator(s): Guillermo L. Bosch, Philip S. Cottone, George Forest Bingham
Hearing Site: Philadelphia, PA
Checkmark Icon$326,000

10,624 Results

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