FINRA Awards for ING Financial Advisers

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Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-01592	06/19/2013	Claimant(s): Kevin Carey Claimant Lawyers(s): Kevin P. Conway Respondent(s): ING Financial Advisers Respondent Lawyers(s): David R. Jiminez Arbitrator(s): Barry Quint, Lewis S. Kurlantzick, Robert L. Chase Hearing Site: Hartford, CT
08-00818	11/12/2009	Claimant(s): Susan Ure Claimant Lawyers(s): Susan Ure Respondent(s): ING Financial Advisers, ING Life Insurance and Annuity Company Respondent Lawyers(s): Michael E. Wilbur Arbitrator(s): Mitchell S. Ostwald, Charles E. Farnsworth, Sharon Truluck Maier Hearing Site: San Francisco, CA
07-02314	08/28/2008	Claimant(s): Susan Key Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Arnold Riley, Debra Mae Stephens, Citigroup Global Markets., Michael Handlin, Ozzie Bauer, Thomas Howard, Financial Network Investment Corp., ING Financial Advisers Respondent Lawyers(s): Andrew R. Harvin, Greg Moore, Hugo A. Hilgendorff, IV Arbitrator(s): Leonard J. Sullivan, Jeffrey M. Aboloff, Philip I. McConnell Hearing Site: Houston, TX		Stipulated Award and Expungement