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FINRA Awards

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Displaying 8,391-8,400 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0669108/10/2010Claimant(s): Michael Antes
Claimant Lawyers(s): J. L. Spray
Respondent(s): Paula Turner
Respondent Lawyers(s): Paula Jean Turner
Arbitrator(s): Will B. Tschudy, M. W. Gear, James A. Hayes
Hearing Site: Omaha, NE
Checkmark Icon$4,500,000
09-0709708/10/2010Claimant(s): Debbie Gardner, Erica M. Gardner
Claimant Lawyers(s): Debbie K. Hancock
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Herbert Liberman
Hearing Site: San Francisco, CA
Checkmark IconDismissed by Rule 12206
09-0397008/10/2010Claimant(s): Anthony Fortuna, Frances Fortuna
Claimant Lawyers(s): Eric S. Richards
Respondent(s): Wachovia Securities, Craig Herrington
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Kenneth Rochlen, Martin I. Reisig, Linda M. Foster-Wells
Hearing Site: Detroit, MI
Checkmark Icon$0
09-0487208/09/2010Claimant(s): Harold Cannell
Claimant Lawyers(s): Harold Cannell
Respondent(s): Blake Pollock, David Kuhna, UBS Financial Services Inc.
Respondent Lawyers(s): John O. Murphy
Arbitrator(s): Timothy J. Currier
Hearing Site: Detroit, MI
Checkmark IconExpungement
09-0215408/09/2010Claimant(s): Beverly Goldfarb, Herbert Goldfarb
Claimant Lawyers(s): Brian H. Reis
Respondent(s): Peter Gelwarg, Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Edith M. Novack, Walter C. Parrish, Morton S. Bunis
Hearing Site: Newark, NJ
Checkmark Icon$0
08-0407008/06/2010Claimant(s): East Tennessee Neurology P.C. Profit
Claimant Lawyers(s): Brian N. Smiley
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Joshua D. Wallach, Kenneth M. Jackson, Elton W. Chartrand
Hearing Site: Nashville, TN
Checkmark Icon$484,357
09-0029408/06/2010Claimant(s): Jason Schecter, Lissa Fial, Lynn Schecter
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Chucks Roberts, Citigroup Global Markets., Stephen Condos, The Condos and Roberts Group
Respondent Lawyers(s): Compliance Officer, Jeffrey L. Friedman, William A. Hohauser
Arbitrator(s): Richard S. Peskin, Cynthia A. DiMarco, Martin H. Zern
Hearing Site: New York, NY
Checkmark IconExpungement
09-0717608/06/2010Claimant(s): Bruno Weber
Claimant Lawyers(s): Magdalena Flunger
Respondent(s): Brian Schkeryantz, JB Oxford & Company
Respondent Lawyers(s): Brian M. Schkeryantz, President or Compliance Officer
Arbitrator(s): Arnold Wagner
Hearing Site: New York, NY
Checkmark IconDismissed by Rule 12206
08-0061208/05/2010Claimant(s): Donald Russsell, Donald W. Russell Living Trust
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Edward M. Olson, William C. Kubicz, Benjamin A. Kerner
Hearing Site: Detroit, MI
Checkmark Icon$243,000
10-0021908/05/2010Claimant(s): Charles Stoveken
Claimant Lawyers(s): Charles B. Stoveken
Respondent(s): William Medlin, Equity Concepts, L.L.C., Sanders Morris Harris Inc.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Robert Charkovsky
Hearing Site: Richmond, VA
Checkmark Icon$4,818

10,624 Results

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