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FINRA Awards

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Displaying 8,551-8,560 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0412306/08/2010Claimant(s): Scott Thayer
Claimant Lawyers(s): Elliott L. Epstein
Respondent(s): Richard Liberty, Commonwealth Financial Network
Respondent Lawyers(s): Steven L. Manchel
Arbitrator(s): Mary C. Kelleher, Jack A. Marshall, Shari B. Broder
Hearing Site: Augusta, ME
Checkmark Icon$0
09-0480906/08/2010Claimant(s): Frederick Visconti, Mary Visconti
Claimant Lawyers(s): Richard De Vita
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Brian J. Burstin, James R. MacCrate, Brian R. Cohen
Hearing Site: New York, NY
Checkmark Icon$0
09-0549006/08/2010Claimant(s): Estate of Zona Mrus by Mary Wickett, Exe
Claimant Lawyers(s): David K. Silverberg
Respondent(s): Robert Vogel, Advantage Capital Corporation
Respondent Lawyers(s): Laurie Styka Bloom
Arbitrator(s): Howard B. Cohen
Hearing Site: Buffalo, NY
Checkmark Icon$0
09-0188106/07/2010Claimant(s): Betsy Klausman, Michael Klausman, IRA, MIchael Klausman, Roth IRA
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): J. Alden Associates.
Respondent Lawyers(s): Rita Durant
Arbitrator(s): Benjamin F. Richards, Daniel E. Bacine, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
Checkmark Icon$0
08-0404906/04/2010Claimant(s): Christianson, Norman & Ellen
Claimant Lawyers(s): Michael C. Skouteris
Respondent(s): Morgan Keegan & Company., William Wolbrecht
Respondent Lawyers(s): Michael A. Brady
Arbitrator(s): James B. Eichberg, Bruce Brown, James Gary Fitch
Hearing Site: Denver, CO
Checkmark Icon$247,557
09-0182206/04/2010Claimant(s): JoAnne Simas, Joseph Simas
Claimant Lawyers(s): Mitchell Albert
Respondent(s): WAMU Investments., Jim McElravy
Respondent Lawyers(s): Robert J. Stumpf
Arbitrator(s): Donald S. Duerson, John P. Wilson, Walter J. Huntley
Hearing Site: San Francisco, CA
Checkmark Icon$350,000
09-0287106/04/2010Claimant(s): David Wechsler and Amy Wechsler JT/TIC
Claimant Lawyers(s): David E. Robbins
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Megan Shea-Harwick
Arbitrator(s): Alan K. Bloom, Joan Marie Chiusano, Daniel P. Lund
Hearing Site: New York, NY
Checkmark Icon$1,319,800
08-0196206/04/2010Claimant(s): Edith Vogelhut
Claimant Lawyers(s): Robert J. Hanreck
Respondent(s): Leslie Posner, Martin Posner, Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Bank & Trust Co., FSB
Respondent Lawyers(s): A. Patricia Christiansen, Jonathan A. Azrael, Martin Posner
Arbitrator(s): Stuart M. Rapee, Gerald Silverman, James Conrad Sankpill
Hearing Site: Miami, FL
Checkmark Icon$0
08-0437306/04/2010Claimant(s): Marina Braun
Claimant Lawyers(s): Justine Fischer
Respondent(s): Wachovia Securities, Julian Albert
Respondent Lawyers(s): Demian J. Betz, Michael J. Abbott
Arbitrator(s): Clyde Fahlman, William J. Chambers, G. E. Craig Doupe
Hearing Site: Portland, OR
Checkmark Icon$0
09-0270306/03/2010Claimant(s): William Tolson, William E. Tolson 2006 Rev Inter-Vivos T
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Howard Pearlman, Wachovia Capital Markets
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Frank R Weaver, Robert M. Lubin, Alan Richard Carlisle
Hearing Site: San Francisco, CA
Checkmark IconExpungement

10,624 Results

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