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FINRA Awards

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Displaying 6,121-6,130 out of 10,653 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0455603/08/2013Claimant(s): Lori Strayn, Payton Ashleigh Strayn U/NV/UTMA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Wells Fargo Advisors, Fred Snyder, E*Trade Securities LLC, Robert Strayn
Respondent Lawyers(s): Deirdre Wolff, John Bersin, Robert Kevin Strayn
Arbitrator(s): Paul Lansing, Sherrill Wm Colvin, Robert David Epstein
Hearing Site: Indianapolis, IN
Checkmark Icon$118,217
12-0002703/08/2013Claimant(s): Bette Kelly, Bette J. Kelly Trust
Claimant Lawyers(s): Steven B. Lehat
Respondent(s): Lance Marcus, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Barbara M. Zak, Chester L. Firestein, Robin Carr
Hearing Site: Los Angeles, CA
Checkmark Icon$0
12-0186103/07/2013Claimant(s): Rene Mamouzellos
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): James Rapuano
Respondent Lawyers(s): James Michael Rapuano
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
Checkmark Icon$22,599
11-0433103/07/2013Claimant(s): Dale Stamer, Dan Schroeder, Darla Severding, David Steinke, Dennis Tucker, Dianna Sheets, Don Severding, Donna Medinger, Grant Christianson, Jerry Hartnell, Julie Schroeder, Kirk Sims, Lori Baylor, Michael Stamer, Neil Case, Pat Tucker, Patricia O'Callaghan, Randy Kingery, Richard Beltz, Rita Beltz, et al
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Thomas Berthel, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Leo G. Stern, Thomas L. Dueber, Grant D. Sanders
Hearing Site: Des Moines, IA
Checkmark Icon$0
10-0451303/06/2013Claimant(s): William Adams
Claimant Lawyers(s): Philip M. Giordano
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky
Arbitrator(s): Melanie S. Cherdack, Elena G. Rodriguez, Ronald Stephen Lieberman
Hearing Site: Ft. Lauderdale, FL
Checkmark Icon$0
11-0311103/06/2013Claimant(s): Nancy Thomas, Nancy K. Thomas Revocable Trust U/A/D 97
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Lawrence Goldberg, Donald Theodore Ryce, Harris Gally
Hearing Site: Boca Raton, FL
Checkmark Icon$0
12-0017703/06/2013Claimant(s): Charles Caughern, IRA FBO Charles D. Caughern
Claimant Lawyers(s): Wayne M. Whitaker
Respondent(s): Lavon Williams
Respondent Lawyers(s): Charles B. Goodwin
Arbitrator(s): Robert Steven Haught, Rowland Denman, G. Maynard Green
Hearing Site: Oklahoma City, OK
Checkmark Icon$0
11-0427903/05/2013Claimant(s): Bank of Nevada
Claimant Lawyers(s): Garrett W. Wotkyns
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Audette Paul Morales, Justin DeCamp
Arbitrator(s): James H. McAvoy, Steven A. Budin, Ernest F. Modzelewski
Hearing Site: Las Vegas, NV
Checkmark Icon$0
12-0030603/05/2013Claimant(s): Charles W. Stager Trust B
Claimant Lawyers(s): Wendy Stager
Respondent(s): Frederick Walker
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
Checkmark Icon$25,704
12-0098703/05/2013Claimant(s): Edward Forman
Claimant Lawyers(s): Edward Phillip Forman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Mark S. Foster
Hearing Site: Kansas City, MO
Checkmark Icon$0

10,653 Results

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