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FINRA Awards

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Displaying 8,571-8,580 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0485705/28/2010Claimant(s): James Hayter
Claimant Lawyers(s): James E. Hayter
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ira L. Oring
Arbitrator(s): Edward M. Statland
Hearing Site: Washington, DC
Checkmark Icon$7,750
09-0251805/28/2010Claimant(s): Elizabeth Austin, Elizabeth O. Austin Trust
Claimant Lawyers(s): John J. Miller
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): John D. Perry
Arbitrator(s): Murray S. Levin, Joseph M. Rebein, Michael A. Kleinman
Hearing Site: Kansas City, MO
Checkmark Icon$0
09-0253805/28/2010Claimant(s): Marie Blomker, The Estate of Joseph W. Blomker, The Blomker Family Revocable Trust
Claimant Lawyers(s): Michael J. Stanley
Respondent(s): Michael Booker, Financial Synergies Asset Management,
Respondent Lawyers(s): Andrew P. Tower
Arbitrator(s): Tim S. Hartzell, Jeff Kilgore, Robert Alan Meyer
Hearing Site: Houston, TX
Checkmark Icon$0
09-0393505/27/2010Claimant(s): John Jones
Claimant Lawyers(s): Matthew K. Edling
Respondent(s): Wells Fargo Investments, Evan Sanchez, Robert Lenz
Respondent Lawyers(s): Eric G. Wallis
Arbitrator(s): Charles E. Farnsworth, Jonathan Holman Hathaway, Homer L. Davis
Hearing Site: San Francisco, CA
Checkmark Icon$140,250
09-0601305/27/2010Claimant(s): John Gaughan
Claimant Lawyers(s): John Gaughan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): Mark R. Lee
Hearing Site: Kansas City, MO
Checkmark Icon$0
08-0321905/27/2010Claimant(s): Anne K. and William L. Porter Foundation, Arlington Properties., Kinport Corporation, WRK, Mary S. Kinder Trust
Claimant Lawyers(s): Richard P. Jeffries
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Larry R. Trussell, James C. Morrow, Christopher Daniel Gryzen
Hearing Site: Omaha, NE
Checkmark Icon$391,375
09-0095005/27/2010Claimant(s): Catalyst Health Solutions.
Claimant Lawyers(s): Bruce V. Spiva
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Albert D. Sturtevant, Michael H. McConihe, Bryan Thomas Di Lella
Hearing Site: Washington, DC
Checkmark Icon$9,750,000
09-0180905/27/2010Claimant(s): Charles Wasserman, Edward Wasserman, Michael Hensch
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Advanced Equities.
Respondent Lawyers(s): James D. Wilson
Arbitrator(s): Robert L. Palleschi, George W. Klein, Joseph F. Wagner
Hearing Site: New York, NY
Checkmark IconVacated by Circuit Court
09-0357905/27/2010Claimant(s): The Elayne S. Wolfenson Trust, The Marvin E. Wolfenson Trust
Claimant Lawyers(s): Ronald L. Haskvitz
Respondent(s): Wells Fargo Investments, Todd Baker
Respondent Lawyers(s): Kristina W. Carlson
Arbitrator(s): Roger D. Johnson, Peter N. Thompson, Joan L. Volz
Hearing Site: Minneapolis, MN
Checkmark Icon$238,113
09-0414205/27/2010Claimant(s): Donald Rose
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Howard Wolkowitz, AXA Advisors, Brinker Capital.
Respondent Lawyers(s): Russell A. Divak, William A. Kebler, William R. Grimm
Arbitrator(s): Richard S. Zaifert
Hearing Site: Ft. Lauderdale, FL
Checkmark Icon$34,670

10,624 Results

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