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FINRA Awards for Richard J. Fuller

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Displaying 10 out of 15 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0283709/04/2019Claimant(s): Robbie Kennerson
Claimant Lawyers(s): Bryan M. Ward
Respondent(s): Genevieve Altieri, Morris Gross, Thomas Boyle, Estate of Jennie Gross
Respondent Lawyers(s): Bryan M. Ward, Genevieve Altieri, Morris Gross, Thomas Boyle
Arbitrator(s): Richard J. Fuller, William E. Schneider, Glenn W. Wheelock
Hearing Site: Orlando, FL
Checkmark IconExpungement
18-0185107/08/2019Claimant(s): James Springer
Claimant Lawyers(s): Craig Stein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Richard J. Fuller, Sharon Lee Chernin, James Mathieu
Hearing Site: Tampa, FL
17-0006208/13/2018Claimant(s): Guy Gannett Trust FBO Corson/Williams, Guy Gannett Trust FBO J. Gannett, et al
Claimant Lawyers(s): Justin Sauerwald
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Richard J. Fuller, Elizabeth A. Townes, Sydney E. Blum
Hearing Site: Tampa, FL
Checkmark IconExpungement
17-0320305/02/2018Claimant(s): Manuel Melliza
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Richard J. Fuller
Hearing Site: Orlando, FL
Checkmark Icon$48,600
15-0127903/27/2017Claimant(s): Mauricio Cardenas
Claimant Lawyers(s): Chase Carlson
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Steven A. Siegel
Arbitrator(s): Richard J. Fuller, Clarence B. Johnson, CLU, ChFC, Sammia Pratt
Hearing Site: Orlando, FL
14-0007908/05/2015Claimant(s): Cor Clearing LLC
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): David Jarvis
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Carole M. Crosby, Richard J. Fuller, Daniel B. Daugherty
Hearing Site: Tampa, FL
13-0349003/26/2015Claimant(s): Joan Peterson
Claimant Lawyers(s): Mark Peterson
Respondent(s): Eric Klaus, Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Richard J. Fuller
Hearing Site: Tampa, FL
Checkmark Icon$0
13-0018105/30/2014Claimant(s):
Claimant Lawyers(s):
Respondent(s): Nicolas Toadvine, Investors Capital Corp.
Respondent Lawyers(s): Michael A. Nagy, Nicolas Shane Toadvine
Arbitrator(s): Richard J. Fuller
Hearing Site: Tampa, FL
Checkmark IconSettlement
13-0081604/17/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes LLC
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Jay Fratello
Respondent Lawyers(s): Jesse M. Tilden
Arbitrator(s): Richard J. Fuller
Hearing Site: Orlando, FL
10-0086306/22/2012Claimant(s): John A. Boccio and Barbara Boccio
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krouse
Arbitrator(s): Richard J. Fuller
Hearing Site: Orlando, FL
Checkmark IconStipulated Award

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