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FINRA Awards for Charlotte, NC

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Displaying 31-40 out of 250 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0249011/21/2022Claimant(s): Linda Puryear
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BB&T Securities
Respondent Lawyers(s): Alexander M. Madrid
Arbitrator(s): Mary E. Woytek
Hearing Site: Charlotte, NC
22-0022411/01/2022Claimant(s): Peter Shanahan
Claimant Lawyers(s): Robert J. Moses
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Richard James Igou
Hearing Site: Charlotte, NC
20-0361506/13/2022Claimant(s): Larry Cabrera
Claimant Lawyers(s): Thomas Momjian
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Victor L. Hayslip
Arbitrator(s): Mollie Wagner Neal, Robert Paul Michaud, Victoria Liccione
Hearing Site: Charlotte, NC
19-0031606/03/2022Claimant(s): Peter Dearcangelis
Claimant Lawyers(s): Adriaen M Morse
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Scott A. La Porta
Arbitrator(s): Robert H. Putnam, Frederick R. Benson, Dayne Steven Beam
Hearing Site: Charlotte, NC
20-0262705/09/2022Claimant(s): Gregory Swindall
Claimant Lawyers(s): Fred B. Monroe
Respondent(s): W&S Brokerage Services.
Respondent Lawyers(s): Nicholas A. Charles
Arbitrator(s): Patricia H. Latham, James Howell Garrison, Norman Lee Gunn
Hearing Site: Charlotte, NC
21-0124303/31/2022Claimant(s): Jaime Guevara
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Nicole M. Zito
Arbitrator(s): Tina E. Patterson
Hearing Site: Charlotte, NC
20-0317903/29/2022Claimant(s): James Womack
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Robert T. Allen, Robert Neal Hunter, Harvey R. Linder
Hearing Site: Charlotte, NC
21-0214803/02/2022Claimant(s): Lisa Hanline
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
21-0248803/02/2022Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Theodore R. Bynum
Respondent(s): Daniel Josey
Respondent Lawyers(s): Daniel Jordan Josey
Arbitrator(s): David Paul Clark
Hearing Site: Charlotte, NC
20-0351502/28/2022Claimant(s): Aaron Olson
Claimant Lawyers(s): Thomas Momjian
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Victor L. Hayslip
Arbitrator(s): Frank E. Wolf, Richard E. Miley, Helen Elizabeth Hester
Hearing Site: Charlotte, NC

250 Results

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