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FINRA Awards for Dallas, TX

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Displaying 651-660 out of 666 results
Case Number Award Date Case Summary Customer Case? Amount Granted
05-0624711/26/2007Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Nancy L. Hendrickson
Respondent(s): Dale Johnson, James Tallant, John Pennington, Keith Shahan, Morgan Stanley DW Inc., Samuel Sloane, Susan Stroud
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Simeon R. Trotter, Malcolm W. Clarrissimeaux, Ted Martin Akin
Hearing Site: Dallas, TX
06-0088011/26/2007Claimant(s): Jeffrey Carroll, UBS Financial Services Inc., Rebecca Gadus
Claimant Lawyers(s): Jin-Ho Chung
Respondent(s): Sammy Gordon
Respondent Lawyers(s): Leonard Weintraub
Arbitrator(s): Joann Peters, Bill M. Lamoreaux, Richard A Miller
Hearing Site: Dallas, TX
07-0071311/21/2007Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Donald Relyea
Respondent Lawyers(s): Donald H. Relyea
Arbitrator(s): Henry Hermann, Ronald G. Johnson, Terry Landry
Hearing Site: Dallas, TX
06-0424411/14/2007Claimant(s): Kurt Novey
Claimant Lawyers(s): Kurt Charles Novey
Respondent(s): Katherine Moore, William Mauney, Barron Moore.
Respondent Lawyers(s): Phillip W. Offill
Arbitrator(s): Henry Hermann
Hearing Site: Dallas, TX
07-0103811/02/2007Claimant(s): Joe Stringer
Claimant Lawyers(s): Joe Robert Stringer
Respondent(s): J.P. Morgan Securities., Citigroup Global Markets., Mellon Securities LLC
Respondent Lawyers(s): Alejandro Schwed, Anthony J. Galioto, Bradley J. Johnson
Arbitrator(s): William E. Hartsfield, Cheryl Jerome Moore, Joseph A. Vicario
Hearing Site: Dallas, TX
Checkmark Icon$0
07-0181010/30/2007Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Danny Daniels
Respondent Lawyers(s): Danny Daniels
Arbitrator(s): Linda B. Kelly
Hearing Site: Dallas, TX
02-0772510/16/2007Claimant(s): Barbara Doop
Claimant Lawyers(s): Jakes Jordaan
Respondent(s): David Komansky, Deepak Raj, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel R. Sharp, Pamela C. Serranzana
Arbitrator(s): William L. Dorcy, James K. Pittman, Thomas Mark Zeller
Hearing Site: Dallas, TX
Checkmark IconExpungement
07-0018110/15/2007Claimant(s): Reef Securities.
Claimant Lawyers(s): Joel Held
Respondent(s): Robert Stanley, Shawn Bartholomae, American Landmark Securities.
Respondent Lawyers(s): David B. Dyer, George S. Henry
Arbitrator(s): William E. Hartsfield, David M Shamblen, Edward J. Lynch
Hearing Site: Dallas, TX
07-0029210/11/2007Claimant(s): Thrivent Investment Management.
Claimant Lawyers(s): James K. Langdon
Respondent(s): Darrel Johnson, Gregory Nixon
Respondent Lawyers(s): John T. Palter
Arbitrator(s): Patricia J. Branco, C. Sumpter Logan, Ted Martin Akin
Hearing Site: Dallas, TX
06-0255510/05/2007Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Mark Del Toro
Respondent Lawyers(s): Mark L. Del Toro
Arbitrator(s): Dolores M Martin, Henry Hermann, Raul Antonio Canez
Hearing Site: Dallas, TX

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