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FINRA Awards for Martin M. Van Luven

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Displaying 10 out of 30 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0418606/05/2023Claimant(s): Chad Tenkley IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Martin M. Van Luven
Hearing Site: Tampa, FL
Checkmark IconExpungement
21-0095702/14/2023Claimant(s): David Barnett, Sara Barnett, DSB Financial Investments, David Barnett OBO his IRA, Sara Barnett OBO her IRA
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Martin M. Van Luven, Brian Campbell, Laura Susann Ukoli
Hearing Site: Tampa, FL
Checkmark IconExpungement
21-0020010/28/2022Claimant(s): Diane Jacobson, Jeffrey Jacobson
Claimant Lawyers(s): Christopher J. Moyen
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Martin M. Van Luven, Jessica Shaw, Jennifer Lavoie
Hearing Site: Tampa, FL
Checkmark Icon$0
20-0242504/28/2022Claimant(s): Gerald Fasanella
Claimant Lawyers(s): Gary Menzer
Respondent(s): Cetera Advisors.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): David L. Shores, Martin M. Van Luven, John Winslow Griesser
Hearing Site: Orlando, FL
20-0263906/22/2021Claimant(s): John Petika
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Martin M. Van Luven
Hearing Site: Tampa, FL
20-0295505/24/2021Claimant(s): William Tomes
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Martin M. Van Luven
Hearing Site: Jacksonville, FL
20-0287305/20/2021Claimant(s): Jeffrey Rogers
Claimant Lawyers(s): Brian Luther
Respondent(s): QA3 Financial Corp., United Planners' Financial Services Of A
Respondent Lawyers(s): Dave Hauer, Stephen Wild
Arbitrator(s): Martin M. Van Luven
Hearing Site: Orlando, FL
20-0269305/17/2021Claimant(s): Travis Jennings
Claimant Lawyers(s): Harris Freedman
Respondent(s): Dempsey Lord Smith
Respondent Lawyers(s): Joel R. Beck
Arbitrator(s): Martin M. Van Luven
Hearing Site: Tampa, FL
20-0050610/05/2020Claimant(s): Alan Douglass
Claimant Lawyers(s): Gregg J. Breitbart
Respondent(s): Investacorp.
Respondent Lawyers(s): Melissa Tarentino
Arbitrator(s): Martin M. Van Luven
Hearing Site: Tampa, FL
20-0008109/14/2020Claimant(s): William Gordon
Claimant Lawyers(s): John Stewart
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Martin M. Van Luven
Hearing Site: Tampa, FL

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