Potomac Analytics' Logo

FINRA Awards for Thomas C. McNally

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
11-0386808/28/2013Claimant(s): Timothy Donaldson
Claimant Lawyers(s): Timothy Donaldson
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Thomas C. McNally, Robert H. Cornell, Kenneth W. Gosliner
Hearing Site: Honolulu, HI
Checkmark IconExpungement
12-0095306/11/2013Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Randall Krenzin, William Zurn
Respondent Lawyers(s): Jeffrey L. Malek
Arbitrator(s): Carlos Richard Mangum, Thomas C. McNally, William Michael Samsel
Hearing Site: San Francisco, CA
11-0139905/11/2012Claimant(s): Duane Nack
Claimant Lawyers(s): Duane Arlen Nack
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Kristina L. Carlson
Arbitrator(s): Thomas C. McNally, Nancy Hutt, Daniel J. Lind
Hearing Site: San Francisco, CA
10-0259209/27/2011Claimant(s): June Shore, June F. Shore IRA FBO June F. Shore, The June F. Shore Living Trust
Claimant Lawyers(s): Thomas M. Campbell
Respondent(s): Gary Gardner, Life Wealth Advisors.
Respondent Lawyers(s): Alan W. Sparer, Kevin H. Lewis
Arbitrator(s): William Ziering, Thomas C. McNally, John B. Weingart
Hearing Site: San Francisco, CA
Checkmark IconStipulated Award
10-0170008/04/2011Claimant(s): R. Emigh, R. Kent Emigh Trust dd 1/31/1986
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Wedbush Securities Inc., Lisa Gallo
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Thomas C. McNally, Ralph A. Cotton, Louis Anthony Napoli
Hearing Site: San Francisco, CA
Checkmark Icon$0
09-0433506/14/2010Claimant(s): The Marvin McCray IRA, The McCray Living Trust UA DTD 07/30/82
Claimant Lawyers(s): Linda Hayes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Thomas C. McNally, Juleanne A. Thiebaut, Gail Killefer
Hearing Site: San Francisco, CA
Checkmark Icon$0
08-0052712/21/2009Claimant(s): David Lehrer, Dennis Contrestano, Jack Swenson, Michael Luby, Michael Patterson, Michael Swenson, Patrick Howell, Stephen Hird
Claimant Lawyers(s): Amanda M. Knudsen
Respondent(s): Piper Jaffray & Co., Piper Jaffray Companies
Respondent Lawyers(s): Julie A. Kole
Arbitrator(s): Thomas C. McNally, Sterling N. Frost, Jerold R. Babin
Hearing Site: San Francisco, CA
08-0009708/03/2009Claimant(s): Estate of Vera Dennington, Gordon Axton, Norma Axton, Shepard Smith
Claimant Lawyers(s): Jason Pang Fe Lee
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Thomas C. McNally, Donald H. Korn, Thomas E. Quinlin
Hearing Site: San Francisco, CA
Checkmark Icon$146,515
08-0103507/08/2009Claimant(s): Lanfear Capital Advisers
Claimant Lawyers(s): Paul B. Nesbitt
Respondent(s): Rani Jarkas, Global Crown Capital, Llc
Respondent Lawyers(s): David G. Finkelstein, Melvin K. Patterson
Arbitrator(s): Thomas C. McNally, Marvin G. Breen, Roberta R. Jeffrey
Hearing Site: San Francisco, CA
Checkmark Icon$1,688,000
07-0197204/17/2009Claimant(s): Timothy Sullivan
Claimant Lawyers(s): Anne Marie Murphy
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Kelly J. Moynihan
Arbitrator(s): Paul J. Dubow, Carl B. Noelke, Thomas C. McNally
Hearing Site: San Francisco, CA

11 Results

Display: