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FINRA Awards for Advest.

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Displaying 10 out of 14 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0102204/03/2024Claimant(s): Samuel Wyman
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Advest.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Josian Antoine, Beth Ann Haddock, Edmund Timothy Donovan
Hearing Site: New York, NY
22-0089204/13/2023Claimant(s): Joseph Crespi
Claimant Lawyers(s): Michael Bessette
Respondent(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Howard N. Gorney
Hearing Site: Providence, RI
21-0231605/13/2022Claimant(s): Thomas Moore
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Ronald Harris Kisner
Hearing Site: New York, NY
10-0306508/21/2012Claimant(s): Louis Kulekofsky, IRA
Claimant Lawyers(s): Alan J. Foxman
Respondent(s): Advest.
Respondent Lawyers(s): Bradley B Rounsaville
Arbitrator(s): Linda M. Granata, Lee Alan Rosenblum, Tina Scott Polsky
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
09-0475003/28/2011Claimant(s): Francis Fry, Judith Fry
Claimant Lawyers(s): Anthony B Andrezeski
Respondent(s): Advest., George Dusckas, Merrill Lynch Pierce Fenner & Smith Inc., Banc Of America Securities Llc
Respondent Lawyers(s): Joseph P. Pohl
Arbitrator(s): Edward A. Grupp, William R. Gruver, Michael D. McDowell
Hearing Site: Pittsburgh, PA
Checkmark Icon$0
08-0056803/20/2009Claimant(s): The TTees of the Masonic Hall and Asylum
Claimant Lawyers(s): Brian J. Butler
Respondent(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew C. Applebaum
Arbitrator(s): Brian J. Burstin, Dale S. Cronnell, John Richard Lynch
Hearing Site: Albany, NY
Checkmark Icon$30,600,600
05-0585601/15/2008Claimant(s): Advest.
Claimant Lawyers(s): Michael J. Fortunato
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Katherine C. Helzer
Arbitrator(s): William J. Crowe, Vicki Z. Holleman, Richard S. Peskin
Hearing Site: New York, NY
06-0502212/19/2007Claimant(s): Advest.
Claimant Lawyers(s): Mark P. Harbison
Respondent(s): Edward Wetzel, Jeffrey Kelley
Respondent Lawyers(s): Joseph William Conway
Arbitrator(s): Carl Hohnbaum, David J. Capriotti, Ralph H. Phillips
Hearing Site: Pittsburgh, PA
06-0502912/19/2007Claimant(s): Advest.
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Jeffrey Kelley
Respondent Lawyers(s): Joseph William Conway
Arbitrator(s):
Hearing Site: Pittsburgh, PA
07-0005211/14/2007Claimant(s): Gordon C. and Patricia Hurlbert JT TEN
Claimant Lawyers(s): David R. Volpe
Respondent(s): Advest., Richard Sarachman
Respondent Lawyers(s): Harry D. Frisch
Arbitrator(s): William R. Gruver, Thomas R. Skulina, Albert Joseph Boucek
Hearing Site: Pittsburgh, PA
Checkmark Icon$0

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