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FINRA Awards

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Displaying 9,101-9,110 out of 10,685 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0243011/25/2009Claimant(s): Richard Jordan
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Michael R. Robinson
Arbitrator(s): Arthur W. Pigott, James Francis Donovan, Alun Hywel Jones
Hearing Site: Birmingham, AL
Checkmark Icon$0
08-0315011/25/2009Claimant(s): Steven Cohen and Marsha Cohen
Claimant Lawyers(s): Adam J. Gana
Respondent(s): James Kelsoe, Jr., Morgan Keegan & Company.
Respondent Lawyers(s): Nancy H. Baughan, Patrice R. Walker
Arbitrator(s): Vernon Barnum, Louis M. Parker, Richard W. Pendleton
Hearing Site: Las Vegas, NV
Checkmark Icon$0
08-0360811/25/2009Claimant(s): Cheryl Radey, Frank Radey, Patricia Radley
Claimant Lawyers(s): Frank H. Radey
Respondent(s): J. B. Hanauer & Co.
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): Jim Geiger, Dale A. Pope, Mary L. Sims
Hearing Site: Philadelphia, PA
Checkmark Icon$0
06-0176211/24/2009Claimant(s): Dan Wittman
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Michael L. Lyons, Robert J. Beck, Robert W. Dempsey
Hearing Site: St. Louis, MO
Checkmark Icon$75,300
08-0249811/24/2009Claimant(s): Waretown Properties
Claimant Lawyers(s): Solomon N Klein
Respondent(s): Arbraham Frankl, Clayton Rimmer, E*Trade Securities LLC, Highgate Properties LLC
Respondent Lawyers(s): Abraham Frankl, John Bersin, Solomon N. Klein
Arbitrator(s): Donald Ferguson, Joseph D. Cosgrove, Alvin Green
Hearing Site: New York, NY
Checkmark Icon$94,580
08-0387411/24/2009Claimant(s): Arlan Coulter
Claimant Lawyers(s): Richard D. Brady
Respondent(s): Daniel Wiersma, Edward Grogan, Commonwealth Equity Services.
Respondent Lawyers(s): Charles A. Lyman
Arbitrator(s): Michael W. Reinhardt, John M. Casey, Michael R.E. Sanders
Hearing Site: Seattle, WA
Checkmark Icon$84,972
09-0076711/24/2009Claimant(s): Anthony Peterman
Claimant Lawyers(s): Anthony Peterman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Steve R. Neuman
Hearing Site: Houston, TX
Checkmark Icon$9,997
09-0102011/24/2009Claimant(s): John Stahl
Claimant Lawyers(s): John K Stahl
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): James H. Bowersox
Hearing Site: San Diego, CA
Checkmark Icon$213
09-0344211/24/2009Claimant(s): Kent Forkner
Claimant Lawyers(s): Kent M. Forkner
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin K. Fair
Arbitrator(s): June Y. Kilmarx
Hearing Site: Boston, MA
Checkmark Icon$0
08-0417811/23/2009Claimant(s): David Schwinger
Claimant Lawyers(s): David Schwinger
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Mary E. Woytek, Paul A. Fischer, Heidi Markovitz
Hearing Site: Washington, DC
Checkmark Icon$25,200

10,685 Results

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