Potomac Analytics' Logo

FINRA Awards for Stephen C. Esposito

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 10 out of 11 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0004012/31/2015Claimant(s): Bruce Burns
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): David A. Noyes & Company
Respondent Lawyers(s): David A. Genelly
Arbitrator(s): Stephen C. Esposito, Michael Nathanson, Joseph John Novak
Hearing Site: Chicago, IL
Checkmark Icon$0
15-0042110/30/2015Claimant(s): Randall Adamowicz
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Anastasios Belesis, Basil Christakos, Don Torrillo, Francis Mitchell, Franz Lambert, Joseph Dimauro, Clark Dodge & Co..
Respondent Lawyers(s): Amal S. Amin, Anthony C. Varbero, Brian J. Davis, Francis G. Mitchell
Arbitrator(s): Stephen C. Esposito
Hearing Site: Milwaukee, WI
Checkmark Icon$0
14-0290010/26/2015Claimant(s): Howard Eugene Rude
Claimant Lawyers(s): Randall Place
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Lawrence R. Commers, Stephen C. Esposito, Douglas J. Nesbit
Hearing Site: Des Moines, IA
Checkmark IconExpungement
14-0048910/10/2014Claimant(s): Thomas Salvino
Claimant Lawyers(s): James L. Kopecky
Respondent(s): William Blair & Company L.L.C.
Respondent Lawyers(s): Arthur Simon
Arbitrator(s): Stephen C. Esposito, Howard B. Silverman, Marcia Bonita Gevers
Hearing Site: Chicago, IL
13-0130702/20/2014Claimant(s): Richard Hakanson
Claimant Lawyers(s): Erwin Cohn
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Stephen C. Esposito
Hearing Site: Chicago, IL
Checkmark Icon$0
08-0336402/19/2014Claimant(s): David Abbott, James Abbott, Michael Abbott
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Charles Lane, RBC Capital Markets Corporation
Respondent Lawyers(s): Charles A. Lane, Ronald P. Kane
Arbitrator(s): Michael F. Jordan, Stephen C. Esposito, Suanne F. Goldman
Hearing Site: Chicago, IL
Checkmark Icon$201,240
10-0389901/17/2013Claimant(s): Jerry Jochims, Linda Govern, Rick Govern, Winton Boyd
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Thomas Berthel, Berthel, Fisher & Co. Financial Services
Respondent Lawyers(s): Vincent D. Louwagie
Arbitrator(s): Roger D. Johnson, Stephen C. Esposito, James H. Colburn
Hearing Site: Des Moines, IA
Checkmark Icon$0
11-0299212/06/2012Claimant(s): Gary Glatz on behalf of his IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Jonathan Butenuth, Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Theodore W. Wrobleski, Stephen C. Esposito, Irving A. Chesler
Hearing Site: Chicago, IL
Checkmark IconExpungement
10-0504011/17/2011Claimant(s): Florian Wisniewski, Marilyn Wisniewski
Claimant Lawyers(s): Banjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Stephen C. Esposito
Hearing Site: Chicago, IL
Checkmark IconExpungement
09-0390612/06/2010Claimant(s): Patsy Freeman, Patsy Freeman Investment Management Acco
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Stephen C. Esposito, William M. Lacy, Leonard J. Sullivan
Hearing Site: Nashville, TN
Checkmark Icon$0

11 Results

Display: