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FINRA Awards

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Displaying 901-910 out of 10,685 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0348807/15/2022Claimant(s): James DeChene, James Dechene IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Lindsay Wuller Aggarwal
Arbitrator(s): Michael S. Jordan, John M. James, Stephen J Beseres
Hearing Site: Minneapolis, MN
Checkmark IconExpungement
19-0100607/15/2022Claimant(s): Frank K. Lee, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): First Kentucky Securities Corporation
Respondent Lawyers(s): Richard S. Frankowski
Arbitrator(s): Stuart D. Summers, Steven Michael McCauley, Kim L. Kirn
Hearing Site: Louisville, KY
Checkmark Icon$609,050
20-0369407/14/2022Claimant(s): Juan Rodriguez, Myriam Gonzalez
Claimant Lawyers(s): Jeffrey D. Anderson
Respondent(s): Antonio ReynaL Financial LLC, Edward Miller, Financial Resources Group Investment Srv
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): G. Maynard Green, Danielle L. Hargrove, Elena Dilorio
Hearing Site: Houston, TX
Checkmark Icon$2,573,340
21-0182707/13/2022Claimant(s): Daniel Schoonover
Claimant Lawyers(s): Daniel L. Schoonover
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Robert Elliot Harrison
Hearing Site: New York, NY
Checkmark Icon$0
21-0230707/12/2022Claimant(s): Bardavon Health Innovations L.L.C.
Claimant Lawyers(s): Robert A. Henderson
Respondent(s): Spurrier Capital Partners LLC
Respondent Lawyers(s): Joseph P. Rockers
Arbitrator(s): James C. Morrow, David W White, Amy L Coopman
Hearing Site: Kansas City, MO
Checkmark Icon$0
22-0030207/12/2022Claimant(s): Rita Greenstein
Claimant Lawyers(s): Steven A. Gelfand
Respondent(s): David Lerner Associates., Daniel Lerner
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Albert Rizzo
Hearing Site: New York, NY
Checkmark Icon$23,480
21-0054707/11/2022Claimant(s): Gary Miller, Martha Miller
Claimant Lawyers(s): William B. Young
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Stuart K. Furman, Mauricio Arcadier, John Briggs
Hearing Site: Orlando, FL
Checkmark IconExpungement
21-0065007/11/2022Claimant(s): M. Barnett
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Arkadios Capital
Respondent Lawyers(s): Peter B. King
Arbitrator(s): James C. Hoover, Michael Ryan Peacock, Lakeya Brantley
Hearing Site: Atlanta, GA
Checkmark IconExpungement
21-0058407/08/2022Claimant(s): Joann Rosellini, Estate of Alexander V. Rosellini
Claimant Lawyers(s): Thomas Costello
Respondent(s): National Securities Corporation, John Moy
Respondent Lawyers(s): Fred N. Knopf, Jennifer R. Willey
Arbitrator(s): Lawrence E. Dube, Josephia Rouse, Elizabeth Varner
Hearing Site: Baltimore, MD
Checkmark IconExpungement
19-0019907/07/2022Claimant(s): Pearl Michaels
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Henley & Company LLC, Henley & Company Wealth Management LLC
Respondent Lawyers(s): Thomas M. Campbell
Arbitrator(s): Vincent C. Pangia, Edward F. Zagajeski, Gary Stuart Alpert
Hearing Site: New York, NY
Checkmark Icon$0

10,685 Results

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