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FINRA Awards for AXA Advisors

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Displaying 21-30 out of 84 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0319206/02/2020Claimant(s): Rex Emery
Claimant Lawyers(s): Michael Bessette
Respondent(s): AXA Advisors
Respondent Lawyers(s): Lynnette Cortes Mhatre
Arbitrator(s): Susan L. Walker
Hearing Site: Denver, CO
19-0089505/05/2020Claimant(s): Ramses Visher
Claimant Lawyers(s): Ramses David Visher
Respondent(s): AXA Advisors
Respondent Lawyers(s): Michael P. Bryant
Arbitrator(s): Elliott Finkel, Thomas R. Watkins, Elizabeth June Fehmel
Hearing Site: Los Angeles, CA
19-0102503/12/2020Claimant(s): Anthony Lubrano
Claimant Lawyers(s): Joel S. Forman
Respondent(s): AXA Advisors
Respondent Lawyers(s): Eileen Stassa
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
19-0346903/04/2020Claimant(s): AXA Advisors, AXA Network
Claimant Lawyers(s): Raha Assadi
Respondent(s): Scott McVicker
Respondent Lawyers(s): Scott Evans McVicker
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Denver, CO
19-0179702/03/2020Claimant(s): AXA Advisors, AXA Network
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Ricardo Urrutia
Respondent Lawyers(s): Ricardo Enrique Urrutia
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
19-0012601/03/2020Claimant(s): Jerry Kiefer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Michael J. Biondi
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Oklahoma City, OK
19-0170512/05/2019Claimant(s): AXA Advisors, AXA Network
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): David Schrank
Respondent Lawyers(s): David Jay Schrank
Arbitrator(s): Jack Friedman
Hearing Site: Newark, NJ
17-0338111/19/2019Claimant(s): J. Kirby Fowler, Patrica Fowler, J. Kirby & Patricia O. Fowler Irr. Trust
Claimant Lawyers(s): Michael W. Starr
Respondent(s): John McGinty, AXA Advisors
Respondent Lawyers(s): Cheryl Howard, Dennis Dice
Arbitrator(s): James M. Rhodes, Bryan David Glass
Hearing Site: Newark, NJ
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19-0170811/06/2019Claimant(s): AXA Advisors, AXA Network
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Carolyn Neale
Respondent Lawyers(s): Carolyn Joan Neale
Arbitrator(s): John P. Cullem
Hearing Site: Orlando, FL
18-0441910/04/2019Claimant(s): Marc Jacobson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities., AXA Advisors
Respondent Lawyers(s): Alan S. Brodherson, Michael J. Biondi
Arbitrator(s): Kenneth N. Adamson
Hearing Site: Chicago, IL

84 Results

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