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FINRA Awards

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Displaying 8,731-8,740 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0311204/01/2010Claimant(s): SMH Capital Inc.
Claimant Lawyers(s): Martha F. McDugald
Respondent(s): John Defini
Respondent Lawyers(s): John Defini
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
Checkmark Icon$0
08-0477404/01/2010Claimant(s): Joseph Vanek
Claimant Lawyers(s): Alberto Rodriguez
Respondent(s): UBS Securities LLC, Douglas Eaton, UBS Financial Services Inc., UBS AG
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): John F Fennig, Robert S. Sugarman, Michael Howard Rosenbloom
Hearing Site: Chicago, IL
Checkmark IconStipulated Award and Expungement
09-0125804/01/2010Claimant(s): Albert Bedran, Albert and Wendy Bedran
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Advanced Equities.
Respondent Lawyers(s): James D. Wilson
Arbitrator(s): Raymond P. Buschmann, James Michael Bailey, John T. Keefe
Hearing Site: Chicago, IL
Checkmark Icon$55,000
09-0405404/01/2010Claimant(s): Lennart B. Svard
Claimant Lawyers(s): Lennart B. Svard
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Kiran Somashekara
Arbitrator(s): Piedad A. Bernikow
Hearing Site: Newark, NJ
Checkmark Icon$6,777
08-0131404/01/2010Claimant(s): Lida Bryan, Estate of William Coleman Bryan,Deceased
Claimant Lawyers(s): John A. Lucas
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Larry E. Mobley
Arbitrator(s): Fred W. Beesley, Hugh J. Moore, W. Bruce Franklin
Hearing Site: Nashville, TN
Checkmark Icon$0
08-0246804/01/2010Claimant(s): Ellen Koval
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Louis H. Miron, Marvin L. Schuldiner, Stephen M. Plotnick
Hearing Site: New York, NY
Checkmark Icon$0
08-0470304/01/2010Claimant(s): Terry Green
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): John K. Boyce, Charles E. Munson, Byron G. Hannah
Hearing Site: Houston, TX
Checkmark Icon$0
07-0355403/31/2010Claimant(s): Gloria Amstrong
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Frank Bluestein, GunnAllen Financial., Questar Capital Corporation
Respondent Lawyers(s): Frank J. Bluestein, Julie H. Firestone, Suzanne Walsh
Arbitrator(s): A. Robert Stevenson, Lee Hornberger, Anthony Allen Mogle
Hearing Site: Detroit, MI
Checkmark Icon$137,000
08-0046203/31/2010Claimant(s): Robin Visocsky
Claimant Lawyers(s): Joel A. Goodman
Respondent(s): Hornor, Townsend & Kent.
Respondent Lawyers(s): Margaret F. Swetman
Arbitrator(s): Sandra K. Hummel, Sherry L. Robinson, John R. Loss
Hearing Site: Kansas City, MO
Checkmark Icon$385,650
08-0325503/31/2010Claimant(s): Frank Sellers, Jay Carpenter
Claimant Lawyers(s): Kent W. Starr
Respondent(s): Stifel, Nicolaus & Co.., Steven Bright
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Maxel (Bud) B. Silverberg, Marie A. Moore, Philip I. McConnell
Hearing Site: Dallas, TX
Checkmark Icon$366,300

10,624 Results

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