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FINRA Awards

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Displaying 8,801-8,810 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0030303/10/2010Claimant(s): Kathleen S. Lahare, Paul J. Lahare
Claimant Lawyers(s): Jessica M. Vasquez
Respondent(s): Robert McCullough, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Simeon B. Reimonenq, Carolyn L. Witherspoon, Robert A. Wojcik
Hearing Site: New Orleans, LA
Checkmark Icon$0
09-0386903/10/2010Claimant(s): Lorraine Barchinger
Claimant Lawyers(s): Lorraine T. Barchinger
Respondent(s): John Foltz, William Herf, B. C. Ziegler And Company
Respondent Lawyers(s): Nicole Goodwin
Arbitrator(s): Eugene W. Bronski
Hearing Site: Phoenix, AZ
Checkmark Icon$0
08-0245703/09/2010Claimant(s): Estate of Juan Roberto Brittingham-McLea
Claimant Lawyers(s): Lance H. "Luke" Beshara
Respondent(s): Gerardo Chapa, Ricardo Perusquia, Robert Benjamin, Global Financial Services, L.L.C.
Respondent Lawyers(s): Adam P. Schiffer, Bruce M. Bettigole
Arbitrator(s): Martha Failing, Charles E. Martin, William R. Jonson
Hearing Site: Houston, TX
Checkmark Icon$370,000
08-0441803/09/2010Claimant(s): Charles Osterman
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Cal G. Gonzales
Arbitrator(s): Lehman W. Williams, Merton E. Marks, Loren Scott Buell
Hearing Site: Phoenix, AZ
Checkmark Icon$309,320
09-0160603/09/2010Claimant(s): Robert Jones
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Patrick Ford
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Charles D. Underwood, Robin R. Mathews, Matthew Harold Fields
Hearing Site: Columbus, OH
Checkmark Icon$568,798
08-0187303/09/2010Claimant(s): David L. Schriger, co-trustee of the Res
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Ralph H. Erickson, Edward I. Miller, James P. Murphy
Hearing Site: Los Angeles, CA
Checkmark Icon$0
08-0347203/09/2010Claimant(s): Paul Gauthier, Sharon Gauthier
Claimant Lawyers(s): Adam J. Gana
Respondent(s): James Kelsoe, Morgan Keegan & Company.
Respondent Lawyers(s): Robert M. Brennan
Arbitrator(s): Elizabeth K. Norsworthy, Samuel H. Chorches, Peter Svorinic
Hearing Site: Manchester, NH
Checkmark Icon$0
09-0299403/09/2010Claimant(s): Mahin Vadi & Cyrus Bahram Soltani
Claimant Lawyers(s): Reza Soltani
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John J. Vihstad
Arbitrator(s): Kathryn J. Toronto, Andrew R. Epstein, Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
Checkmark Icon$0
09-0399803/09/2010Claimant(s): Vincent Pisaturo
Claimant Lawyers(s): Vincent Pisaturo
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Fotini A. Antoniadis
Arbitrator(s): Tom L. Peterson
Hearing Site: Providence, RI
Checkmark Icon$0
08-0357103/05/2010Claimant(s): David Solger, Jimmy Ackerman, Judith Solger
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Robert Dokken
Respondent Lawyers(s): Robert S. Dokken
Arbitrator(s): Edith N. Dinneen, Linda L. Busby, Alexander Myers
Hearing Site: Tampa, FL
Checkmark Icon$191,590

10,624 Results

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