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FINRA Awards for Robert T. Allen

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Displaying 10 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0317903/29/2022Claimant(s): James Womack
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Robert T. Allen, Robert Neal Hunter, Harvey R. Linder
Hearing Site: Charlotte, NC
19-0333304/13/2020Claimant(s): Robert Blakely
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Ellen Rosenberg
Arbitrator(s): Robert T. Allen, Susan L. Luck, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
15-0001005/03/2017Claimant(s): Steven Griff
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Robert T. Allen, John A. Baynes, Brock B. Gordon
Hearing Site: Charlotte, NC
Checkmark Icon$0
14-0288703/24/2017Claimant(s): Sarah Harmon
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Robert T. Allen
Hearing Site: Raleigh, NC
Checkmark Icon$0
12-0053501/06/2014Claimant(s): Melissa Whitaker, The Estate of D. Clay Whitaker
Claimant Lawyers(s): Nathaniel W. Bax
Respondent(s): Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Robert T. Allen, Leslie R. Berro, Ronald Tuttle Osborn
Hearing Site: Charlotte, NC
Checkmark Icon$200,300
13-0080310/10/2013Claimant(s): Cynthia Lowe IRA, W.E. Lowe II IRA, W.E. Lowe II & William P Lowe T.I.C
Claimant Lawyers(s): T. John Kirk
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Robert T. Allen
Hearing Site: Columbia, SC
Checkmark Icon$240
11-0374506/11/2013Claimant(s): Harry Bishop
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Robert T. Allen
Hearing Site: Columbia, SC
Checkmark IconExpungement
10-0074505/08/2013Claimant(s): John Medley
Claimant Lawyers(s): Michael Fahey
Respondent(s): John Stapleton, Pointe Capital.
Respondent Lawyers(s): Aime Dempsey, Liam O'Brien
Arbitrator(s): Robert T. Allen, George W. McKellar, Michael F. Pearl
Hearing Site: Raleigh, NC
Checkmark IconExpungement
11-0411302/12/2013Claimant(s): Allen Hauser
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Morris Weisner
Respondent Lawyers(s): Morris Clinton Weisner
Arbitrator(s): Robert T. Allen, John A. Baynes, James F. Major
Hearing Site: Charlotte, NC
Checkmark Icon$177,116
10-0550111/07/2011Claimant(s): Mercer Blankenship
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Tim Baird
Arbitrator(s): Robert T. Allen, Lynne T. Albert, Richard E. Miley
Hearing Site: Charlotte, NC
Checkmark IconExpungement

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