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FINRA Awards

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Displaying 8,811-8,820 out of 10,624 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0231403/05/2010Claimant(s): Family Funding LLC, Haney Family LLC, Franklin L. Haney Revocable Trust Dated
Claimant Lawyers(s): Larry D. Blust
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Helena J. Jepson
Arbitrator(s): Dave Wolf, Judith Stilz Ogden, Jay D. Lukowski
Hearing Site: Atlanta, GA
Checkmark Icon$1,600,000
08-0131803/05/2010Claimant(s): Thelma Gainer
Claimant Lawyers(s): Thelma Gainer
Respondent(s): NYLife Securities LLC, Robert Koeller, Primevest Financial Services.
Respondent Lawyers(s): Harvey R. Herman, Kenneth L. Schmetterer
Arbitrator(s): Daniel Baruch Lidawer, Lawrence Tepper, Marilee Roberg
Hearing Site: Chicago, IL
Checkmark Icon$0
09-0256103/05/2010Claimant(s): Rose Weisz
Claimant Lawyers(s): Robert E. Goodman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Joshua D. Wallach, Larry J. Craddock, Brian James Tagtmeier
Hearing Site: Houston, TX
Checkmark Icon$0
09-0163203/04/2010Claimant(s): Cortney Hungerford Trust dtd 3/6/99, Morgan Hungerford Trust dtd 3/6/99
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Johnston, Lemon & Co.orporated
Respondent Lawyers(s): Douglas K. Spalding
Arbitrator(s): Wesley C. Wilson, Thomas J. Burns, Christopher M. McMurray
Hearing Site: Richmond, VA
Checkmark Icon$109,605
09-0212503/04/2010Claimant(s): Jeffrey King
Claimant Lawyers(s): Eric S. Richards
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Brian J. Masternak
Arbitrator(s): Kenneth J. Safran, Corby A. Kiss, William M. Azkoul
Hearing Site: Detroit, MI
Checkmark Icon$36,500
06-0137403/03/2010Claimant(s): Dennis Lynch
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): H. Fehn, John Meyers, K. Garrett, Katheleen McPherson, Russell Riccobono, Scott Brooks, Scott Magallanes, Stanley Brooks, Stephen Washburn, Steve Skytte, Brookstreet Securities Corporation, First Providence Financial Group, The Brooks Family Trust
Respondent Lawyers(s): H. Thomas Fehn, John M. Meyers, K. Michael Garrett, Katheleen M. McPherson, Russell Robert Riccobono, Scott Lee Magallanes, Stephen P. Washburn, Steve Skytte, Steven W. Schaefer
Arbitrator(s): John P. Scordo, Alan K. Bloom, Joseph Michael Dougherty
Hearing Site: Newark, NJ
Checkmark Icon$24,400
08-0290503/03/2010Claimant(s): Bruce Rogovin
Claimant Lawyers(s): Steve Rogovin
Respondent(s): Charles Schwab & Co.., Robert Lewandowski, Charles Schwab Investment Management, In, Schwab Investments
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): W. Pat Conners, Philip C. Johnston, Barbara E. Dixon
Hearing Site: Cincinnati, OH
Checkmark IconStipulated Award and Expungement
09-0065203/03/2010Claimant(s): Angelain Loggins, Dwayne Loggins
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Patrick Buschmohle
Respondent Lawyers(s): W. Scott Turnbull
Arbitrator(s): Anthony J. Bove, Jacqueline R. Fox, A. Robert Stevenson
Hearing Site: Detroit, MI
Checkmark Icon$61,891
09-0436603/03/2010Claimant(s): Paul W. & Ginette Schwenn Family Trust
Claimant Lawyers(s): Paul William Schwenn
Respondent(s): Craig Luchinetti, Banc of America Investment Services Inc.
Respondent Lawyers(s): Genna Stephens
Arbitrator(s): Linda I. Thomas
Hearing Site: Seattle, WA
Checkmark Icon$213
09-0475703/03/2010Claimant(s): CNS Corporation
Claimant Lawyers(s): James L. Buchal
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Harper Fertig- Robinson
Arbitrator(s): Larry T. Coady
Hearing Site: Portland, OR
Checkmark Icon$0

10,624 Results

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