Potomac Analytics' Logo

FINRA Awards

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

Filter by:

Sort by:

Displaying 5,811-5,820 out of 10,653 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0359707/02/2013Claimant(s): Deborah Prentice
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Jennifer L. Bliss, Robert J. Allen, Rocco Michael Scanza
Hearing Site: Syracuse, NY
Checkmark Icon$0
12-0158207/02/2013Claimant(s): Luis Rojas
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sandra Caldera
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Myron E. Levenson, Will Murphy, Soraya Maria Figueiredo
Hearing Site: Miami, FL
Checkmark Icon$0
12-0175307/02/2013Claimant(s): Christianne Meier
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Patrick DiGiacomo, Newport Coast Securities.
Respondent Lawyers(s): Dan A. Druz
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
Checkmark Icon$45,860
12-0122507/02/2013Claimant(s): The Estate of Max Bernstein
Claimant Lawyers(s): Samuel Goldman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): David S. Billet, Paul K. Barenholtz, Bryan Lane Berson
Hearing Site: New York, NY
Checkmark Icon$0
12-0281707/02/2013Claimant(s): The Estate of Elvira C. Iasso
Claimant Lawyers(s): John Narccarelli
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Robert G. Geeseman
Hearing Site: Orlando, FL
Checkmark Icon$300
11-0133007/01/2013Claimant(s): Nifly, LLP
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): J.P. Morgan Securities Inc.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Sam Antar, Ellyn S. Roth, Dolores D. Balsamo
Hearing Site: New York, NY
Checkmark Icon$55,000
11-0293707/01/2013Claimant(s): Protostar I Litigation Trust
Claimant Lawyers(s): Elizabeth Wolstein
Respondent(s): Paul Deninger, Richard Morrison, Jefferies & Company.
Respondent Lawyers(s): Hal S. Shaftel
Arbitrator(s): Lise Gabrielle Hunter, Walter D. Goldsmith, J.D., Phillip Weitzman
Hearing Site: New York, NY
Checkmark Icon$566,667
11-0413407/01/2013Claimant(s): Randall Strider, Roland Stout, Randy and Randy.
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
Checkmark Icon$0
12-0181507/01/2013Claimant(s): Cynthia Undesser, John Undesser, Richard Undesser
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): William M. Getzoff, Rody P. Biggert, Jacqueline Stanley Lustig
Hearing Site: Chicago, IL
Checkmark Icon$0
12-0263607/01/2013Claimant(s): Luke Atwell
Claimant Lawyers(s): Luke A. Atwell
Respondent(s): E*Trade Clearing LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
Checkmark Icon$0

10,653 Results

Display: