Potomac Analytics' Logo

FINRA Awards

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 3,171-3,180 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0179006/28/2017Claimant(s): Rosemarie McBride
Claimant Lawyers(s): Adam M. Green
Respondent(s): Wells Fargo Advisors Financial Network, Janet Horowitz
Respondent Lawyers(s): Alan Baskin, Judy Louie
Arbitrator(s): Howard R. Gaines, Jan Marie Mackulak, Robert S. Baran
Hearing Site: Phoenix, AZ
Checkmark IconExpungement
17-0017806/28/2017Claimant(s): Robert Crumrine
Claimant Lawyers(s): Robert E. Norton
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
Checkmark Icon$300
17-0021206/28/2017Claimant(s): Javed Maniya
Claimant Lawyers(s): Javed Maniya
Respondent(s): OptionsHouse
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
Checkmark Icon$0
14-0350606/27/2017Claimant(s): Barbara Dean
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Leah A. Murray, Michael L. Lyons, A.J. Seier
Hearing Site: St. Louis, MO
Checkmark Icon$0
16-0126106/27/2017Claimant(s): Jan Tullis, Scott Tullis
Claimant Lawyers(s): Joshua L. Ross
Respondent(s): Andrew Hall, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Rick D. Hampton, Stephany Adriene Watson, Paul R. Meyer
Hearing Site: Portland, OR
Checkmark Icon$191,772
16-0146206/27/2017Claimant(s): Daniel Schaefer
Claimant Lawyers(s): Daniel Schaefer
Respondent(s): Source Capital Group.
Respondent Lawyers(s): David Harris
Arbitrator(s): Michael J. Meeusen, John W. Eichleay, Vincent S. Mezinko
Hearing Site: Columbus, OH
Checkmark Icon$0
15-0266106/26/2017Claimant(s): Madeleine Carrero, Ulises Barros Carrero, Fideicomiso Ulises Barros
Claimant Lawyers(s): Melanie S. Cherdack
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Guillermo J. Bobonis, Matthew E. Wolper
Arbitrator(s): Gerald Silverman, Joseph Benalt, Paul J. Burkhart
Hearing Site: Miami, FL
Checkmark Icon$793,680
16-0156406/26/2017Claimant(s): Daniel Oleary, Jennifer Oleary, Patrick Oleary, Sandra Oleary
Claimant Lawyers(s): Daniel Gwertzman
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Renan I. Sugarman
Arbitrator(s): Mark L Miller, Robert S. Sugarman, Raymond P. Buschmann
Hearing Site: Chicago, IL
Checkmark Icon$0
15-0253206/23/2017Claimant(s): Audrey Woznicki, Clark Woznicki
Claimant Lawyers(s): David Liebrader
Respondent(s): Levi Lindemann
Respondent Lawyers(s): Levi David Lindemann
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
Checkmark Icon$190,300
17-0027306/23/2017Claimant(s): Simco Company
Claimant Lawyers(s): Bruce Simon
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
Checkmark Icon$0

10,624 Results

Display: