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FINRA Awards

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Displaying 8,621-8,630 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0519505/13/2010Claimant(s): Edward Billig IRA
Claimant Lawyers(s): Edward Billig
Respondent(s): Gregory Iglow, Oppenheimer & Co.., RBC Capital Markets Corporation, Michael Rosenmayer
Respondent Lawyers(s): Abe Lampert, Deborah Dickstein
Arbitrator(s): James H. Frank
Hearing Site: Los Angeles, CA
Checkmark Icon$17,546
08-0370205/12/2010Claimant(s): Garry Hodgin
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): Michael Segal, Thomas Oneill, Yousuf Saljooki, Whitaker Securities LLC
Respondent Lawyers(s): Scott D. Stechman, Yousuf Saljooki
Arbitrator(s): Jeffrey M. Bain, Bruce C. Young, James A. Hayes
Hearing Site: Omaha, NE
Checkmark IconStipulated Award and Expungement
09-0324305/12/2010Claimant(s): Q Investments Limited Partnership
Claimant Lawyers(s): Philip Aurbach
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): James J. Fontanilla
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Las Vegas, NV
Checkmark Icon$117,630
09-0365705/12/2010Claimant(s): Toshio and Chie Nakano Living Trust
Claimant Lawyers(s): Toshio Nakano
Respondent(s): Wedbush Securities Inc., Richard Lanni
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Michael J. Henke, Joan H. Palmer, Joan M. Smith
Hearing Site: Baltimore, MD
Checkmark Icon$107,100
09-0419105/12/2010Claimant(s): Paul Taylor
Claimant Lawyers(s): Paul Taylor
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Richard S. Zaifert
Hearing Site: Boca Raton, FL
Checkmark Icon$2,820
08-0488405/12/2010Claimant(s): Anne Young, Robert Young
Claimant Lawyers(s): Charles C. Mihalek
Respondent(s): Morgan Keegan & Company., Robert Brewer
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Richard B. Lewis, Billy G. Hopkins, James Douglas Wilbanks
Hearing Site: Louisville, KY
Checkmark Icon$0
09-0497905/12/2010Claimant(s): Joseph Mason, Marian Mason
Claimant Lawyers(s): Joseph D. Mason
Respondent(s): Lawrence Passaretti
Respondent Lawyers(s): Jessica F. Longobardi
Arbitrator(s): Burt R. Rose
Hearing Site: Boca Raton, FL
Checkmark Icon$38
08-0321205/11/2010Claimant(s): Bruce Spector, Ilene Abramson, Laurence Abramson, Michael Piuze, Abramson Living Trust UAS 4/1/02, The Spector Family Trust U/A/D 08/16/93
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Steven Gourley, Stephen B. Benton, Elliott Zachary Seff
Hearing Site: Los Angeles, CA
Checkmark Icon$1,557,200
09-0253705/11/2010Claimant(s): Phillip Wells
Claimant Lawyers(s): Phillip A. Wells
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John O. Murphy
Arbitrator(s): Stuart D. Summers
Hearing Site: Louisville, KY
Checkmark Icon$1,956
09-0268705/11/2010Claimant(s): Annette Smith, Donald Smith, Annette Smith IRA, Donald L. Smith Individual Retirement Ac, Donald L. Smith SEP
Claimant Lawyers(s): William A Jacobson
Respondent(s): Alan Cook, RBC Capital Markets Corporation
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): David L. Hoffberg
Hearing Site: Rochester, NY
Checkmark Icon$14,296

10,624 Results

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