Potomac Analytics' Logo

FINRA Awards

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

Filter by:

Sort by:

Displaying 8,561-8,570 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0306206/03/2010Claimant(s): James A. Dixon Testamentary Trust
Claimant Lawyers(s): Michael Dixon
Respondent(s): Keith Steiner, UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Herbert B. Williams, Daniel J. Donovan, Arlene J.M. Grant
Hearing Site: Baltimore, MD
Checkmark IconLack Jurisdiction (Rule 12200/12201)
09-0272506/03/2010Claimant(s): Bruce Hughes, Mark F. Bryant Testamentary Trust
Claimant Lawyers(s): Thomas M. Haskins
Respondent(s): Charlotte Maier, Wells Fargo Investments
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Samuel E. Wing, Anthony B. Petrelli, Thomas L. Dueber
Hearing Site: Denver, CO
Checkmark Icon$0
08-0048606/02/2010Claimant(s): Ralph Joel
Claimant Lawyers(s): Paul F. Carvelli
Respondent(s): Jay Eisenstark, Eisenstark Advisory.
Respondent Lawyers(s): Jay Eisenstark, Todd M. Sahner
Arbitrator(s): Linda T. Pellegrino, B. David Jarashow, Robert A. Vallone
Hearing Site: Newark, NJ
Checkmark Icon$375,000
09-0225506/02/2010Claimant(s): The Maximillian H. Miltzlaff Rev. Trust
Claimant Lawyers(s): Richard J.J. Scarola
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Earl S. Schwarz, Evdokia Sofos, Carolyn A. Mann
Hearing Site: New York, NY
Checkmark Icon$60,000
08-0049906/01/2010Claimant(s): Elizabeth Fowler
Claimant Lawyers(s): Kirk Reasonover
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Andrea Morgan Greene
Arbitrator(s): Leonard E. Benade, Michael T. Nobile, Howard R. Gaines
Hearing Site: New Orleans, LA
Checkmark Icon$70,000
09-0132306/01/2010Claimant(s): Robert Craig, Robert H. Craig Rev Living Trust
Claimant Lawyers(s): Scott C. Ilgenfritz
Respondent(s): William Gordon, Investors Capital Corporation
Respondent Lawyers(s): James A, McGovern
Arbitrator(s): John P. Cullem, David M. Snyder, George E. Bouse
Hearing Site: Tampa, FL
Checkmark Icon$150,266
09-0105306/01/2010Claimant(s): Jonathan Morse Seltzer IRA, Susan Oehler Seltzer IRA
Claimant Lawyers(s): Jonathan Morse Seltzer
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Daniel M. Rabinovitz
Arbitrator(s): Lawrence R. Commers, Richard W. Thiele, Brett W. Olander
Hearing Site: Minneapolis, MN
Checkmark Icon$0
09-0471806/01/2010Claimant(s): Brian Behan, Marion Behan
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Marsco Investment Corporation
Respondent Lawyers(s): Steven M. Hecht
Arbitrator(s): Charles Kleinbaum
Hearing Site: New York, NY
Checkmark Icon$0
08-0339605/28/2010Claimant(s): Frederick Hart
Claimant Lawyers(s): J. Jerome Hartzell
Respondent(s): Bruce Baker, Peter Dawson, Obsidian Financial Group
Respondent Lawyers(s): Brian Reis, Paul R. Williams, Peter J. Dawson-08A3494
Arbitrator(s): Jack C. Aycock, C. Marcus Harris, Chase Boone Saunders
Hearing Site: Charlotte, NC
Checkmark Icon$89,439
09-0299205/28/2010Claimant(s): Martin Fischer
Claimant Lawyers(s): Martin J. Fischer
Respondent(s): Andrea Fischer, Joseph Lushina, Edward Jones
Respondent Lawyers(s): Andrea Fischer, Edwin A. Barkel
Arbitrator(s): Lester Friedman, James W. Warren, Ralph L. Jacobson
Hearing Site: Reno, NV
Checkmark Icon$15,300

10,624 Results

Display: