Potomac Analytics' Logo

FINRA Awards

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

Filter by:

Sort by:

Displaying 3,961-3,970 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0140702/01/2016Claimant(s): Paula Hian
Claimant Lawyers(s): David P. Heim
Respondent(s): Wells Fargo Advisors, Manuel Aponte
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Alan J. Blocher, Stephen J. Scherf, Laura Marini Davis
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
14-0160402/01/2016Claimant(s): Marlene Lewis, Maxim Levkov, Artek Media International Inc.
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ronald Wood
Arbitrator(s): Martin Olinick, Alan M. Rosen, David Paul Beauvais
Hearing Site: Los Angeles, CA
Checkmark Icon$825,600
14-0032202/01/2016Claimant(s): Gary Anglen
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Brookville Capital Partners
Respondent Lawyers(s): Brett D. Zinner
Arbitrator(s): Barbara M. Anscher
Hearing Site: San Francisco, CA
Checkmark Icon$0
15-0102202/01/2016Claimant(s): Roger Beckham
Claimant Lawyers(s): Scott Eichhorn
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Diana Sur
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
Checkmark Icon$0
14-0251701/29/2016Claimant(s): ENME Real Estate Corp.
Claimant Lawyers(s): Adolfo J. Anzola
Respondent(s): Santander Securities
Respondent Lawyers(s): Jorge E. Perez-Dias
Arbitrator(s): Susan Meek, Scott A. Schweber, Raymond E. Cornelius
Hearing Site: San Juan, PR
Checkmark IconExpungement
14-0145601/29/2016Claimant(s): E. Gerald Eigenfeld, Norma Eigenfeld
Claimant Lawyers(s): William G. Shields
Respondent(s): Patrick Ayers, Ayers Financial Services, ING Financial Partners.
Respondent Lawyers(s): C. Bryce Benson
Arbitrator(s): Richard E. Lauziere, Janice L. Burnham, Overman Randolph Rollins
Hearing Site: Richmond, VA
Checkmark Icon$0
15-0215001/28/2016Claimant(s): Dong Suk Yang
Claimant Lawyers(s): Dong Suk Yang
Respondent(s): Dennis Zaplin
Respondent Lawyers(s): Dennis Lee Zaplin
Arbitrator(s): S. Charles Tabak
Hearing Site: Newark, NJ
Checkmark Icon$13,779
14-0287601/27/2016Claimant(s): Carlos Valverde
Claimant Lawyers(s): Eric Quetglas-Jordan
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Robert Finder, Richard E. Miley, Peter H. Goldberg
Hearing Site: San Juan, PR
Checkmark IconExpungement
15-0058901/27/2016Claimant(s): Catherine Boland, Richard Graves
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Dawn Bennett, Western International Securities.
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): James A. Hayes, Christopher M. McMurray
Hearing Site: Baltimore, MD
Checkmark IconExpungement
16-0012101/27/2016Claimant(s): Barbara Padilla, Douglas Beal, Joseph Lujan, Linda Rapella, Lori Palmquist, Mae Holloway, Marjorie Gillman, Marylou Oliver
Claimant Lawyers(s): Frank F. Sommers
Respondent(s): Brent Wolf
Respondent Lawyers(s): Scott L. Metzger
Arbitrator(s): Alexandra M. Linden, Thomas D. Reese, Peter H. Daly
Hearing Site: San Francisco, CA
Checkmark IconExpungement

10,624 Results

Display: