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FINRA Awards

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Displaying 8,601-8,610 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0466805/21/2010Claimant(s): Eilenn G. Akers and Gregory R. Akers
Claimant Lawyers(s): Jeffrey Helmann
Respondent(s): Citigroup Global Markets., Jonathan Elyachar
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Henry Tiffany, Stanley H. Labinger, B. John Dill
Hearing Site: Hartford, CT
Checkmark Icon$0
08-0469805/21/2010Claimant(s): Anthony Brown
Claimant Lawyers(s): Shona B. Glink
Respondent(s): Daniel Livingstone, UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth G. Crowley, Kenneth Crowley
Arbitrator(s): Jack Friedman, Alfred H. Kingon, Erica Levitt
Hearing Site: New York, NY
Checkmark Icon$0
09-0257005/20/2010Claimant(s): Sue Lane
Claimant Lawyers(s): Milton H. Fried
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): David G. Beerbower, George A. Sellnau, Dale A. Hearn
Hearing Site: Houston, TX
Checkmark Icon$0
09-0264305/20/2010Claimant(s): Carol Bell, Walter Bell
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Sara Soto
Arbitrator(s): V. Michael Pabalis, Dennis R. Nolte, Charles W. Lavender
Hearing Site: Orlando, FL
Checkmark Icon$0
09-0654105/20/2010Claimant(s): Jeff Jernigan, Jill Jernigan
Claimant Lawyers(s): Pat Huddleston
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): A. Keith Logue
Hearing Site: Atlanta, GA
Checkmark Icon$0
08-0459205/19/2010Claimant(s): Thomas DiBenedetto
Claimant Lawyers(s): Richard A. Roth
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Julian W. Wells
Arbitrator(s): Don Muyskens, Ellen I. Siegman, John William Bowman
Hearing Site: Tampa, FL
Checkmark Icon$425,000
09-0301305/19/2010Claimant(s): Arthur Lang, Deborah Lang
Claimant Lawyers(s): Mark J. Krudys
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Peter Fruin
Arbitrator(s): David Edward Upton, Wesley C. Wilson, Michael J. Pasquale
Hearing Site: Richmond, VA
Checkmark Icon$276,844
09-0357705/19/2010Claimant(s): Richard Johnson
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Michael Wittenberg
Respondent Lawyers(s): Michael Scott Wittenberg
Arbitrator(s): Lawrence R. Commers, John R. Kelly, Leo G. Stern
Hearing Site: Minneapolis, MN
Checkmark Icon$170,521
09-0467205/19/2010Claimant(s): Ian Knight, Ian Knight Individual Retirement Account, Ian Knight SEP IRA
Claimant Lawyers(s): Arthur M Schwartzstein
Respondent(s): Frank Shull, Lara, Shull & May
Respondent Lawyers(s): Martin P. Unger
Arbitrator(s): Louis Nebel, June White Dillard, Shelley Simons Korch
Hearing Site: Washington, DC
Checkmark Icon$65,000
09-0341805/19/2010Claimant(s): Natalie Schwarz, Natalie Schwarz Trust, Residual Trust U/W/O Norman Schwarz
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Tommaso Bencivenga
Arbitrator(s): Carlos E. Ayala, Stuart Harvey Ziegler, Bart Samuel Cohodas
Hearing Site: Boca Raton, FL
Checkmark Icon$0

10,624 Results

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