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FINRA Awards

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Displaying 7,301-7,310 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0153810/11/2011Claimant(s): James Clifford
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Wayne Hillis
Arbitrator(s): Fred S. Pieroni
Hearing Site: New York, NY
Checkmark Icon$0
10-0532210/10/2011Claimant(s): Jayakumar Muthukamatchi, Jayakumar Muthukamatchi IRA
Claimant Lawyers(s): Jayakumar Muthukamatchi
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Ira G. Rosenstein
Arbitrator(s): Jim Geiger
Hearing Site: Wilmington, DE
Checkmark Icon$0
09-0267110/07/2011Claimant(s): Vincent R. and Tracie D. Heileson JTTEN
Claimant Lawyers(s): Anthony B. Gordon
Respondent(s): Wells Fargo Investments, Hokon Yun
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): J. Jean Elliott, James S. Carlson, David Nielsen
Hearing Site: Los Angeles, CA
Checkmark Icon$83,071
09-0359810/07/2011Claimant(s): Aurum STS Aggressive Trading LLC
Claimant Lawyers(s): Jonathan Harris
Respondent(s): Atef Eltoukhy, Cowen Group., SG Americas Securities, Societe Generale, Societe Generale Warrants Limited N.V.
Respondent Lawyers(s): David M. Brodsky, Jeff G. Hammel, John C. Molluzzo, Michael C. Miller, Paul Serritella
Arbitrator(s): Darryl J. Horowitt, Mark R. Topper, Charles Eugene Markley
Hearing Site: San Francisco, CA
Checkmark Icon$59,900,000
10-0442410/07/2011Claimant(s): Michael Colombino
Claimant Lawyers(s): William C. Rand
Respondent(s): Ashraf Elghandour, Morgan Stanley
Respondent Lawyers(s): Susan MacFarlane
Arbitrator(s): John A. Scudiero, Joan M. Traub, Roland E. Wyatt
Hearing Site: New York, NY
Checkmark IconExpungement
08-0354810/07/2011Claimant(s): Mike Sturdivant, Ygondine Sturdivant
Claimant Lawyers(s): Dale Ledbetter
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Christopher G. Lazarini
Arbitrator(s): R. Thomas Barksdale, Marc Kalish, David W. Dresnick
Hearing Site: Jackson, MS
Checkmark Icon$0
10-0449410/07/2011Claimant(s): Gene Hedlund, Janice Hedlund, Odyssey 2000-Friar's Branch Crossing, Gene A. Hedlund IRA, Janice M. Hedlund IRA, Odyssey 2000 Rev Trust dtd 8/14/1989
Claimant Lawyers(s): A. Thomas Tenenbaum, Richard A. Nervig
Respondent(s): John Lauer, Waveland Capital Partners LLC
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Sidney Jacobsen, Guenter S. Cohn, Katherine Jane Morris
Hearing Site: San Diego, CA
Checkmark Icon$0
09-0579310/05/2011Claimant(s): Carl Cosio
Claimant Lawyers(s): Randall C. Place
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Rafael Calleja
Respondent Lawyers(s): Alise Johnson, Frederick S. Schrils, Neil S. Baritz
Arbitrator(s): Muriel Desloovere, William R. Turner, David F. Simon
Hearing Site: Tampa, FL
Checkmark Icon$248,874
10-0220010/05/2011Claimant(s): Jeremy Harvey
Claimant Lawyers(s): Steven S. Biss
Respondent(s): Karen McKinley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): A. Patricia Morales Christiansen
Arbitrator(s): Jonathan S. Alcaro, Jane C. Carney, William Stephen Mailander
Hearing Site: Richmond, VA
Checkmark Icon$0
10-0172510/04/2011Claimant(s): Jim Brogden Revocable Living Trust, Lynn Brogden Revocable Living Trust
Claimant Lawyers(s): Yoona Park
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Randall Stender
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): John F. Harris, William B. Kirby, Robert Sachs Mandelson
Hearing Site: Portland, OR
Checkmark Icon$189,984

10,624 Results

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