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FINRA Awards

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Displaying 8,671-8,680 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0433104/27/2010Claimant(s): Clifford Lee
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Langfred W. White, Robert Stephen Burns, Francis Joseph Bourgeois
Hearing Site: Tampa, FL
Checkmark Icon$0
09-0336504/26/2010Claimant(s): Judy Lipinski, William Lipinski, Judy A. Linpinski as TTEE of the Judy A., William A. Lipinski, TTEE of the William
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Stifel, Nicolaus & Co.., Donald Meyer
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Michael S. Matek, Robert P. Bramnik, Leon Fox
Hearing Site: Chicago, IL
Checkmark Icon$0
09-0612404/26/2010Claimant(s): Richard Royce Palmer IRA
Claimant Lawyers(s): Richard Royce Palmer
Respondent(s): Carl Morrison, Edward Jones
Respondent Lawyers(s): Carl Kirby Morrison, Dennis J. Capriglione
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
Checkmark Icon$7,506
09-0568304/23/2010Claimant(s): Sukmanee Lin
Claimant Lawyers(s): Lionel Lin
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): David C. Redford
Hearing Site: Houston, TX
Checkmark Icon$7,601
08-0288604/23/2010Claimant(s): Richard Solano
Claimant Lawyers(s): Kenneth Gunshor
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mauricio S. Beugelmans
Arbitrator(s): Eugene M. Kaufman, Leonard M. Bakal, Keely D. Parr
Hearing Site: New York, NY
Checkmark Icon$0
09-0177604/23/2010Claimant(s): Samuel Bleichfeld
Claimant Lawyers(s): Samuel Bleichfeld
Respondent(s): Isaac Simon, UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
Checkmark Icon$0
09-0187304/23/2010Claimant(s): Ronald Morenz
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Ronald Edward Hibbing
Hearing Site: Phoenix, AZ
Checkmark Icon$0
09-0626104/23/2010Claimant(s): Marty Wekser
Claimant Lawyers(s): Marty Wekser
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Melvin S. Feldman
Hearing Site: Los Angeles, CA
Checkmark Icon$692
09-0099304/22/2010Claimant(s): The Alan B. White Trust
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): ITradeDirect.com Corporation
Respondent Lawyers(s): Eric Arlt
Arbitrator(s): James B. Vessey, George J. Karlsven, Russell K. Cannon
Hearing Site: Salt Lake City, UT
Checkmark Icon$529,470
09-0447004/22/2010Claimant(s): Chadd Edlein
Claimant Lawyers(s): Chadd Edlein
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Paula McManus
Arbitrator(s): Melinda G. Jayson
Hearing Site: Dallas, TX
Checkmark Icon$0

10,624 Results

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