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FINRA Awards for Advanced Equities.

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Displaying 11-16 out of 16 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0180905/27/2010Claimant(s): Charles Wasserman, Edward Wasserman, Michael Hensch
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Advanced Equities.
Respondent Lawyers(s): James D. Wilson
Arbitrator(s): Robert L. Palleschi, George W. Klein, Joseph F. Wagner
Hearing Site: New York, NY
Checkmark IconVacated by Circuit Court
09-0125804/01/2010Claimant(s): Albert Bedran, Albert and Wendy Bedran
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Advanced Equities.
Respondent Lawyers(s): James D. Wilson
Arbitrator(s): Raymond P. Buschmann, James Michael Bailey, John T. Keefe
Hearing Site: Chicago, IL
Checkmark Icon$55,000
08-0067212/02/2009Claimant(s): Dan Camphausen, Edmund Templeton, Gerald Tahtinen, Larry Myhre, OADS, INC., Heidi Sparacino, IRA, Judith Meyers, Bartlett and Doris Richards, Dennis and Heidi Sparacino, Bonnie Meyers, Indiv & as Trustee of, Shirely Wong Profit Sharing Trust, The Gerald and Mary Dassow Trust
Claimant Lawyers(s): Laurence M. Landsman, Nicholas P. Iavarone
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Thomas P. Yardley
Arbitrator(s): Ralph M. Goren, Theodore L. Leeb, Craig D. Cook
Hearing Site: Chicago, IL
Checkmark Icon$174,766
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
06-0126104/07/2008Claimant(s): Advanced Equities.
Claimant Lawyers(s): Andrew M. Zack
Respondent(s): Denise Kappel
Respondent Lawyers(s): Nicholas P. Iavarone
Arbitrator(s): Thomas F. Mahoney, Ann Breen-Greco, Champ W. Davis
Hearing Site: Chicago, IL
06-0460601/22/2008Claimant(s): Katherine Reeve
Claimant Lawyers(s): Niall P. McCarthy
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Edward T. Anderson
Arbitrator(s): Walter P. Hitchcock, Alexandra M. Linden, Gail Killefer
Hearing Site: San Francisco, CA

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