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FINRA Awards for Karl A. Vogeler

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Displaying 10 out of 37 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0347709/05/2024Claimant(s): Charles Sonnenblick, Mark Sonnenblick
Claimant Lawyers(s): Thomas Perry
Respondent(s): Cadaret, Grant & Co..
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
23-0172706/24/2024Claimant(s): Jennifer Jack
Claimant Lawyers(s): Harris Freedman
Respondent(s): ADP Broker-Dealer.
Respondent Lawyers(s): Matthew V. DelDuca
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
23-0228502/12/2024Claimant(s): Michael Goodner
Claimant Lawyers(s): Michael Eugene Goodner
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Gregory Curley
Arbitrator(s): Karl A. Vogeler
Hearing Site: Nashville, TN
23-0121501/22/2024Claimant(s): Brent Turner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): QA3 Financial Corp., Transamerica Financial Advisors
Respondent Lawyers(s): Stephen K. Wild, Susan D. Duff
Arbitrator(s): Karl A. Vogeler
Hearing Site: Nashville, TN
23-0042207/10/2023Claimant(s): Charles Fulmore
Claimant Lawyers(s): Charles S. Fulmore
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Karl A. Vogeler
Hearing Site: Orlando, FL
Checkmark Icon$41,850
22-0170405/08/2023Claimant(s): Cary Kleinfield
Claimant Lawyers(s): Harris Freedman
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Gianluca Morello
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
22-0205404/06/2023Claimant(s): John Redhead
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Maurice M. Feller, Howard B. Scherer, Karl A. Vogeler
Hearing Site: Tampa, FL
19-0360410/26/2022Claimant(s): Daniel Parker, Edison Parker, Michael Brinton
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Cary Street Partners
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): George Michael Cross, John G. Manley, Karl A. Vogeler
Hearing Site: Nashville, TN
20-0183101/18/2022Claimant(s): Nancy Mellon
Claimant Lawyers(s): Nancy Kimball Mellon
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Neil M. Katsuyama
Arbitrator(s): Gary L. Hodge, Karl A. Vogeler, Richard Kennard Hurley
Hearing Site: Tampa, FL
21-0261912/28/2021Claimant(s): James Candella
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Karl A. Vogeler
Hearing Site: Nashville, TN

37 Results

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