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FINRA Awards

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Displaying 3,921-3,930 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0098102/25/2016Claimant(s): Lawrence Genovesi
Claimant Lawyers(s): Michael R. Perry
Respondent(s): Carol Ball
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Gerard S. Marsan, Michael P. Anciello, Joseph Samuel Berman
Hearing Site: Boston, MA
Checkmark Icon$0
15-0108002/25/2016Claimant(s): Delfina Alvarez
Claimant Lawyers(s): Delfina M. Alvarez
Respondent(s): Linda Collins
Respondent Lawyers(s): Geddes D. Anderson
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Ft. Lauderdale, FL
Checkmark Icon$0
14-0289102/24/2016Claimant(s): Calvin Griffith, Helen Cherry
Claimant Lawyers(s): John S. Chapman
Respondent(s): Larry Werbel
Respondent Lawyers(s): Scott C. Matasar
Arbitrator(s): Jeffrey M. Bain, G. Daniel Carney, Nancy Fioritto
Hearing Site: Cleveland, OH
Checkmark Icon$100,375
14-0246602/23/2016Claimant(s): Pamela Belsky
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Justine Fischer, John Robert Oreskovich, Dale G. Higer
Hearing Site: Boise, ID
Checkmark IconExpungement
15-0017102/23/2016Claimant(s): Rose Arem
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
Checkmark Icon$23,174
13-0238302/22/2016Claimant(s): Terry Nauman
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Stephen Mckoy
Respondent Lawyers(s): Stephen Dirk Mckoy
Arbitrator(s): John J. Miller
Hearing Site: Des Moines, IA
Checkmark Icon$144,223
14-0160302/22/2016Claimant(s): Richard Jensen, Jensen Enterprises.
Claimant Lawyers(s): Han Le, Kenneth J. Catanzarite
Respondent(s): John Misner
Respondent Lawyers(s): Wright A. Noel
Arbitrator(s): William P. Bergsten, Jonathan W. Kaiser, Paul R. Meyer
Hearing Site: Seattle, WA
Checkmark Icon$0
15-0074202/19/2016Claimant(s): Elise Arnone, Gerald Short, Dominick Arnone Family Trust
Claimant Lawyers(s): Ian J. Frimet
Respondent(s): Jonathan Sheklow
Respondent Lawyers(s): Jonathan Michael Sheklow
Arbitrator(s): Robert Manfredo, Carolyn A. Mann, Martin A. Edelstein
Hearing Site: New York, NY
Checkmark Icon$151,373
14-0096602/19/2016Claimant(s): The Estate of Gabriel J. Cadenas
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Lawrence E. Fenster, Roberto Quinones
Arbitrator(s): Charles Hoffman, Marie G. Peterson, Brian P. Jakes
Hearing Site: San Juan, PR
Checkmark Icon$0
14-0108502/19/2016Claimant(s): Heather Rockwell, NNN Talavi Corporate Park 9
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Anthony Thompson, NNN Capital Corp.
Respondent Lawyers(s): Anthony W. Thompson, Charles Huang
Arbitrator(s): Irene C. Warshauer, Ira S. Cure, Brooks White
Hearing Site: New York, NY
Checkmark Icon$0

10,624 Results

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