Potomac Analytics' Logo

FINRA Awards for Stephanie E. Simmons

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 9 out of 9 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0059002/09/2023Claimant(s): Ricardo Aguirre
Claimant Lawyers(s): Ricardo Aguirre
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Stephanie E. Simmons
Hearing Site: Houston, TX
Checkmark IconDismissed by Rules 12212(c), 12511(b) and 12603
20-0267012/22/2022Claimant(s): Moody National DST Sponsor
Claimant Lawyers(s): Douglas A. Daniels
Respondent(s): Charles Schwab & Co.., Zachariah Bickers
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Stephanie E. Simmons, William Guy Arnot, Stephen Neil Foster
Hearing Site: Houston, TX
Checkmark Icon$0
21-0050704/14/2022Claimant(s): Katie Klein, Estate of Roy S. Dale, Dale & Klein Partnership, K&R Family Limited Partnership
Claimant Lawyers(s): William Mount
Respondent(s): Morgan Stanley, J. Bryan Reece, Citigroup Global Markets.
Respondent Lawyers(s): Abigail D. Elrod, Adam M. Kauff
Arbitrator(s): David C. Redford, Stephanie E. Simmons, Cynthia Ann Kittle
Hearing Site: Houston, TX
Checkmark IconExpungement
20-0384309/30/2021Claimant(s): David Furlong
Claimant Lawyers(s): David Furlong
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Marjorie C. Johnson, Stephanie E. Simmons, Mina Banerjee
Hearing Site: Houston, TX
Checkmark Icon$0
19-0294008/30/2021Claimant(s): Mark Sitter
Claimant Lawyers(s): Esther Treneer
Respondent(s): Calton & Associates., Capital Financial Services.
Respondent Lawyers(s): Gordon Dihle, Martin S. Schexnayder
Arbitrator(s): James Wallace Boeckman, Stephanie E. Simmons, Curtis Jay Meador
Hearing Site: Houston, TX
19-0335703/25/2021Claimant(s): Terlink
Claimant Lawyers(s): Michael J. Stanley
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): David C. Redford, Stephanie E. Simmons, Kevin Colby
Hearing Site: Houston, TX
Checkmark Icon$0
20-0229011/20/2020Claimant(s): Robert Pascarella
Claimant Lawyers(s): Robert Pascarella
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William Mann
Arbitrator(s): Stephanie E. Simmons
Hearing Site: Houston, TX
Checkmark Icon$300
17-0327907/01/2019Claimant(s): Christopher Johnson, Lee Przybyla
Claimant Lawyers(s): Jonah Toleno
Respondent(s): USAA Financial Advisors.
Respondent Lawyers(s): Michael R. Greco
Arbitrator(s): R Lee Britton, Irving Sylvester Moses, Stephanie E. Simmons
Hearing Site: Houston, TX
12-0210112/19/2013Claimant(s): Estate of Dorris Arris
Claimant Lawyers(s): Roger G. Bresnahan
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Gerald Cohn, The Cohn Financial Group
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): Dale A. Hearn, Charles E. Munson, Stephanie E. Simmons
Hearing Site: Houston, TX
Checkmark IconExpungement

9 Results

Display: