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FINRA Awards for Michael A. Rodriguez

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0132601/08/2019Claimant(s): NEXT Financial Group.
Claimant Lawyers(s): Michael A. Rodriguez
Respondent(s): Douglas Simanski
Respondent Lawyers(s): Douglas P. Simanski
Arbitrator(s): Stuart C. Gaul, Arthur Lewis Goldberg, Frank C. Botta
Hearing Site: Pittsburgh, PA
11-0286410/02/2012Claimant(s): Janie Orr, John Orr
Claimant Lawyers(s): Robert D. O'Conor
Respondent(s): Wells Fargo Advisors, Perry Lyons
Respondent Lawyers(s): Michael A. Rodriguez
Arbitrator(s): Philip I. McConnell, Jack Chapline Vaughan, Joshua D. Wallach
Hearing Site: Houston, TX
Checkmark IconExpungement
09-0691009/22/2011Claimant(s): Santanna Natural Gas Corporation
Claimant Lawyers(s): Benjamin H. Hathaway
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Scott Branson
Respondent Lawyers(s): Michael A. Rodriguez
Arbitrator(s): David G. Beerbower, William Edward Buck, Selenne Calhamer
Hearing Site: Houston, TX
Checkmark IconExpungement

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