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FINRA Awards

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Displaying 9,351-9,360 out of 10,685 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0264008/10/2009Claimant(s): Virginia G. Stevens & Ben R. Stevens
Claimant Lawyers(s): James C. Alison
Respondent(s): Gerald Hester, Colonial Brokerage.
Respondent Lawyers(s): Larry B. Childs
Arbitrator(s): Steven P. Gregory, Randy J. Johnston, Debra Black Leo
Hearing Site: Birmingham, AL
Checkmark Icon$0
08-0494208/10/2009Claimant(s): Michael Leonard
Claimant Lawyers(s): Michael W. Leonard
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Andrew Lipton
Arbitrator(s): James P. McCrocklin
Hearing Site: Louisville, KY
Checkmark Icon$0
08-0392508/07/2009Claimant(s): W.D. David
Claimant Lawyers(s): J. Pat Sadler
Respondent(s): Man Financial.
Respondent Lawyers(s): Philip Tanzar
Arbitrator(s): William Edmund Burke, Daniel E. Gulden, Arthur Thomas Stephenson
Hearing Site: Atlanta, GA
Checkmark Icon$90,000
08-0047208/06/2009Claimant(s): Donald Halfmann, Patricia Halfmann
Claimant Lawyers(s): John J. Miller
Respondent(s): VFinance Investments.
Respondent Lawyers(s): Adam H. Smith
Arbitrator(s): Michael D. Fitzgerald, Michael A. Kleinman, Robert John McElwain
Hearing Site: Kansas City, MO
Checkmark Icon$759,800
08-0160008/06/2009Claimant(s): James Bach, James Bach Rev. Living Trust UAD 11/4/93
Claimant Lawyers(s): Steve J. Gard
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): George R. Canty, Seth L. Finkel, Andrew David Kahng
Hearing Site: Miami, FL
Checkmark Icon$250,000
08-0458508/06/2009Claimant(s): Harold Kozupsky, Jeanette Kozupsky, Harold and Jeanette Kozupsky, IRA, Harold Kozupsky and Jeanette Kozupsky
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): George Gladman, Ronald Slevin, RBC Dain Raucher
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): John F. Duane, Alvin Green, James D. Yellen
Hearing Site: New York, NY
Checkmark IconStipulated Award and Expungement
08-0360708/06/2009Claimant(s): Scottrade.
Claimant Lawyers(s): Thomas L. Azar
Respondent(s): Elisei Chereji
Respondent Lawyers(s): Joseph Soraghan
Arbitrator(s): Albert J. Haller, David B. Lacks, Daniel J. Marsh
Hearing Site: St. Louis, MO
Checkmark Icon$0
08-0427108/05/2009Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Steven G. Leventhal
Respondent(s): Marvin Wolfman
Respondent Lawyers(s): Marvin I. Wolfman
Arbitrator(s): Linda Ashley
Hearing Site: New York, NY
Checkmark Icon$0
07-0206208/05/2009Claimant(s): Glen Stone, Sandra Stone
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Robert R. Nursey, Robert L. Chisolm, Robert J. Gregory
Hearing Site: Dallas, TX
Checkmark Icon$0
08-0448908/04/2009Claimant(s): Enrico Cassara
Claimant Lawyers(s): Enrico Cassara
Respondent(s): E*Trade Clearing LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Fred S. Pieroni
Hearing Site: Newark, NJ
Checkmark Icon$38

10,685 Results

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