Potomac Analytics' Logo

FINRA Awards

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

Filter by:

Sort by:

Displaying 8,531-8,540 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0542306/17/2010Claimant(s): James Kane and Agnes Kane
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Aura Financial Services.
Respondent Lawyers(s): John Woodruff
Arbitrator(s): Ann Pinciss Berman
Hearing Site: New York, NY
Checkmark Icon$25,000
09-0648206/17/2010Claimant(s): William Tudor, William A. Tudor and Kathleen Tudor
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Laurie E. Law
Hearing Site: Seattle, WA
Checkmark Icon$15,368
09-0035106/17/2010Claimant(s): Cheryl Katz
Claimant Lawyers(s): Mark T. Starkman
Respondent(s): Oppenheimer & Co.., Stanley Wong, Commerce Capital Markets
Respondent Lawyers(s): Diana Sur, James A. McGovern, Michael S. Zullo
Arbitrator(s): James Pasquale Nunciato, Kathleen Hoey Gorr, Ruth A. Ihne
Hearing Site: Albany, NY
Checkmark Icon$0
09-0591106/17/2010Claimant(s): Robert D. Willcutt, Robert D. Willcutt and Nancy J. Willcutt
Claimant Lawyers(s): Nancy J. Willcutt
Respondent(s): James Healey, UBS Financial Services Inc., Richard Crews
Respondent Lawyers(s): Hasan Ibrahim
Arbitrator(s): Nickolas F. Monteforte
Hearing Site: Boston, MA
Checkmark Icon$213
09-0148206/16/2010Claimant(s): Stew Bird, Susan Bird
Claimant Lawyers(s): Stewart Bird
Respondent(s): Kevin O'Leary, Alliance Berstein, L.P., Bernstein Global Wealth Management, Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Hugh N. Fryer, Sandra J. Mullings, Anthony J. Raimondi
Hearing Site: New York, NY
Checkmark Icon$0
09-0238006/15/2010Claimant(s): Joel Rappoport
Claimant Lawyers(s): Charles Stambaugh
Respondent(s): Banc of America Investment Services Inc., Tim Monahan
Respondent Lawyers(s): Lindsy Nicole Alleman
Arbitrator(s): Thomas Joseph Atkinson
Hearing Site: Orlando, FL
Checkmark IconExpungement
09-0384606/15/2010Claimant(s): Barbara Monroe, William Monroe, Christopher Griffith Monroe, William Henry Monroe, III, Barbara Susan Monroe IRA, William Henry Monroe IRA, Barbara & Henry Monroe, B. Susan Monroe Trust, Monroe Irrevocable Trust, William H. Monroe, II Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Hantz Financial Services.
Respondent Lawyers(s): Bradley J. Schram
Arbitrator(s): John F. Burns, Jennifer Ann Shandler, James L. Karpen
Hearing Site: Detroit, MI
Checkmark Icon$587,063
09-0360106/14/2010Claimant(s): Jack Lang, Tina Lang, The Jack A. & Tina L. Lang Family Trust
Claimant Lawyers(s): Holly C. Hamm, Ross Spence
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Lacey, Merrill Lynch Life Agency Inc.
Respondent Lawyers(s): Joseph L. Hood
Arbitrator(s): Mica T. Duncan, Joe S. Tarrer, Richard L. Merkel
Hearing Site: Albuquerque, NM
Checkmark Icon$100,000
09-0433506/14/2010Claimant(s): The Marvin McCray IRA, The McCray Living Trust UA DTD 07/30/82
Claimant Lawyers(s): Linda Hayes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Thomas C. McNally, Juleanne A. Thiebaut, Gail Killefer
Hearing Site: San Francisco, CA
Checkmark Icon$0
09-0307606/11/2010Claimant(s): Alina Zaucha, Joseph Zaucha
Claimant Lawyers(s): James J. Moylan
Respondent(s): Raymond James Financial Services., Michael Solesky
Respondent Lawyers(s): Kelli Bullington
Arbitrator(s): Richard A. Van Kalker
Hearing Site: Chicago, IL
Checkmark Icon$0

10,624 Results

Display: