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FINRA Awards for Alain Frecon

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Displaying 10 out of 14 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0029601/21/2022Claimant(s): Marjorie Ullerich
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Phyllis Karasov, Michael S. Jordan, Alain Frecon
Hearing Site: Minneapolis, MN
Checkmark Icon$170,425
18-0357212/07/2021Claimant(s): Stine Seed Farm.
Claimant Lawyers(s): Patricia L. Vannoy
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): James K. Langdon
Arbitrator(s): Alain Frecon, Brett Coonrod, Deborah Kristine Gilg
Hearing Site: Des Moines, IA
Checkmark Icon$750
19-0240508/11/2021Claimant(s): Estate of Joseph A. Muff
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Woodbury Financial Services., Hartford Funds Distributors
Respondent Lawyers(s): Greg Curley, Keraya S. Jefferson
Arbitrator(s): Jack D. Elmquist, Alain Frecon, Michael Anthony Pysno
Hearing Site: Des Moines, IA
Checkmark Icon$100,000
18-0401402/03/2021Claimant(s): JC McCall Revocable Trust
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Carmine Berardi, Jonathan McCormack, Philip Sparacino, Robert Spiegel, William Gennity, First Standard Financial Company LLC
Respondent Lawyers(s): Craig A. Riha, Martin H. Kaplan
Arbitrator(s): Alain Frecon
Hearing Site: Des Moines, IA
Checkmark Icon$114,383
20-0102801/13/2021Claimant(s): Diane Ranck, Robert Ranck
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Tracy L. Allen, Alain Frecon, John Edward Jackson
Hearing Site: Des Moines, IA
Checkmark IconDismissed by Rule 12206
20-0178610/26/2020Claimant(s): Mark Dalrymple
Claimant Lawyers(s): Kyle M. Kulzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin, Esq.
Arbitrator(s): Alain Frecon
Hearing Site: Minneapolis, MN
Checkmark IconSettlement
17-0261711/20/2019Claimant(s): Kevin Rouse
Claimant Lawyers(s): Kevin Rouse
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Alain Frecon, Mary Louise Hilfiker, Robert Meredith Altman-Segal
Hearing Site: Minneapolis, MN
Checkmark IconRule 12504(b)
17-0050201/31/2019Claimant(s): Michael Zeran
Claimant Lawyers(s): Israel Klein
Respondent(s): Bancwest Investment Services.
Respondent Lawyers(s): Marko Mrkonich
Arbitrator(s): Avery B. Goodman, Danielle L. Anderson, Alain Frecon
Hearing Site: Des Moines, IA
17-0215004/24/2018Claimant(s): Anthony Ferrara
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Larson Financial Securities
Respondent Lawyers(s): Steve Cervantes
Arbitrator(s): Alain Frecon
Hearing Site: Minneapolis, MN
14-0143902/28/2018Claimant(s): Mary Anderson, William Anderson, A.M. Anderson Properties, L.C., Anderson Properties., NNN Parkway Corporate Plaza 21, Mark Anderson Properties
Claimant Lawyers(s): Steven V. Hunter
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Paul D. Gamez
Arbitrator(s): Donald N. Tolin, Verne R. Gray, Alain Frecon
Hearing Site: Des Moines, IA
Checkmark IconDismissed by Rule 12206

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