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FINRA Awards for Maryanne M. Esser

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Displaying 31-38 out of 38 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0263806/03/2011Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Will S. Montgomery
Respondent(s): Michael Venable
Respondent Lawyers(s): Cody L. Towns
Arbitrator(s): R. Theodore Moock, Maryanne M. Esser, Corbet F. Bryant
Hearing Site: Dallas, TX
10-0398504/26/2011Claimant(s): Estate of Lula Mae McDonald
Claimant Lawyers(s): Patricia Coy
Respondent(s): Melanie Housden, Edward Jones
Respondent Lawyers(s): Shane Duggin
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
Checkmark Icon$15,431
09-0694208/26/2010Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Tim Dowden
Respondent Lawyers(s): J. Mitchell Little
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
08-0479312/21/2009Claimant(s): Christopher Wanken
Claimant Lawyers(s): Christopher Michael Wanken
Respondent(s): John Wanken, Raymond James Financial Services.
Respondent Lawyers(s): Erin Linehan, William J. Dunne
Arbitrator(s): Michael E. Rohde, Maryanne M. Esser, Thomas Richard Delaney
Hearing Site: Dallas, TX
09-0027307/09/2009Claimant(s): Gary N. and Nancy M. Polasek
Claimant Lawyers(s): Gary N. Polasek
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
Checkmark Icon$307
08-0422805/07/2009Claimant(s): Texakoma Financial.
Claimant Lawyers(s): Barry F. Cannaday
Respondent(s): Trent Trubenbach
Respondent Lawyers(s): Trent Trubenbach
Arbitrator(s): Edwin J. Tomko, Richard C. Corse, Maryanne M. Esser
Hearing Site: Dallas, TX
08-0213003/30/2009Claimant(s): Phazar Corp.
Claimant Lawyers(s): Robert L. Wright
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wes Holston
Arbitrator(s): Maryanne M. Esser, Raul Antonio Canez, Robert E. Behrendt
Hearing Site: Dallas, TX
Checkmark Icon$0
07-0288610/06/2008Claimant(s): Sherpa Fund
Claimant Lawyers(s): John R. Fahy
Respondent(s): Robert Gioia, AFS Brokerage.
Respondent Lawyers(s): Donald C. Hurwitz, Robert Gioia
Arbitrator(s): Peter J. Conlon, John Courtade, Maryanne M. Esser
Hearing Site: Dallas, TX
Checkmark Icon$0

38 Results

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