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FINRA Awards

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Displaying 8,741-8,750 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0377303/31/2010Claimant(s): Dora McIlhenny Trust
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Greg S. Como
Arbitrator(s): Robert S. McConnell, Gary L. Freeman, Brian W. Yee
Hearing Site: Phoenix, AZ
Checkmark Icon$91,129
09-0498103/31/2010Claimant(s): Carol Kroptavich, Ronald Kroptavich, IRA FBO Ronald Kroptavich
Claimant Lawyers(s): John McGovern
Respondent(s): Ronald Paull
Respondent Lawyers(s): Dianna D. McCarthy
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
Checkmark Icon$10,213
09-0146703/31/2010Claimant(s): Faye Ruback
Claimant Lawyers(s): David A. Weintraub
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): John R. Loss, Jeffrey C. Johnson, Rebecca Sue Abell-Brown
Hearing Site: Omaha, NE
Checkmark Icon$0
09-0520303/31/2010Claimant(s): Timothy Makas
Claimant Lawyers(s): Timothy Makas
Respondent(s): Richard Netter, Senate Securities
Respondent Lawyers(s): Richard M. Netter
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
Checkmark Icon$0
09-0597303/31/2010Claimant(s): David G. Steakley and Paula B. Steakley
Claimant Lawyers(s): David G. Steakley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Robert Matthews
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
Checkmark Icon$0
08-0494803/30/2010Claimant(s): The Westervelt Company
Claimant Lawyers(s): Peter R. Sonderby
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Jonathan Rosenberg
Arbitrator(s): Kendall P. Hill, Fred M. Ridolphi, M. Bruce Adelberg
Hearing Site: Birmingham, AL
Checkmark Icon$6,025,000
09-0244603/30/2010Claimant(s): Snehal Patel
Claimant Lawyers(s): Snehal Patel
Respondent(s): Westrock Advisors.
Respondent Lawyers(s): Christopher R. Travis
Arbitrator(s): Robert Charkovsky
Hearing Site: Richmond, VA
Checkmark Icon$240
09-0344803/30/2010Claimant(s): Rita Kaufman
Claimant Lawyers(s): Jill Gross
Respondent(s): Alfred Kelly, Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
Checkmark Icon$0
08-0402703/29/2010Claimant(s): Arun Verma, Karuna Verma, Makan Limited Partnership
Claimant Lawyers(s): C. Mark Stratton
Respondent(s): Wachovia Securities, John Montfort, A.G. Edwards & Sons.
Respondent Lawyers(s): Daniel Kirshbaum, Jack C. Ballard
Arbitrator(s): Thomas D. Nagle, Dale A. Hearn, Charles S. Chester
Hearing Site: Houston, TX
Checkmark Icon$82,837
09-0174503/26/2010Claimant(s): Christine L.Lane, as Bene of the
Claimant Lawyers(s): Mark C. Watler
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): George A. Sellnau, Steven M. Ruderman, Michele N. O'Brien
Hearing Site: Houston, TX
Checkmark Icon$0

10,624 Results

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