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FINRA Awards for Todd Ratner

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Displaying 10 out of 54 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0249102/26/2024Claimant(s): Raymond James & Associates.
Claimant Lawyers(s): Todd Ratner
Respondent(s): Katherine Tarbox
Respondent Lawyers(s): Katherine Alexandra Tarbox
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
23-0225002/12/2024Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Todd Ratner
Respondent(s): Gerald Fils
Respondent Lawyers(s): Gerald Louis Fils
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
22-0155806/20/2023Claimant(s): Amy Seltzer, David Neumann, James Ellis
Claimant Lawyers(s): Todd Ratner
Respondent(s): Anthony Bambocci, Brandienne Tarbert, Christopher Tarbert
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Peter Glasser, Gregory Hunter Mathews, Kenneth Alan Eisner
Hearing Site: Pittsburgh, PA
Expungement
19-0360410/26/2022Claimant(s): Daniel Parker, Edison Parker, Michael Brinton
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Cary Street Partners
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): George Michael Cross, John G. Manley, Karl A. Vogeler
Hearing Site: Nashville, TN
19-0184002/26/2020Claimant(s): Morgan Stanley
Claimant Lawyers(s): Todd Ratner
Respondent(s): Tracy Kirby
Respondent Lawyers(s): Tracy Ann Kirby
Arbitrator(s): David Paul Clark
Hearing Site: Wilmington, DE
18-0412602/13/2020Claimant(s): Jeffrey Walter
Claimant Lawyers(s): James L Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Michael J. Henke, Carl F. Bowmer, Javier Andres Colon Volgamore
Hearing Site: Richmond, VA
Checkmark Icon$0
18-0381201/03/2020Claimant(s): NEXT Financial Group.
Claimant Lawyers(s): Todd Ratner
Respondent(s): Erryn Barkett
Respondent Lawyers(s): James C. Cosby
Arbitrator(s): Nancy E. Watters
Hearing Site: Richmond, VA
18-0413312/12/2019Claimant(s): James Walter
Claimant Lawyers(s): James L. Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Carl F. Bowmer, Marcus G. Lashley, Peter H. Goldberg
Hearing Site: Richmond, VA
Checkmark Icon$0
18-0418711/22/2019Claimant(s): Ann Berger, Eric Berger
Claimant Lawyers(s): James L Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Arthur B. O'Connell, Joseph J. Dougherty, Peter H. Goldberg
Hearing Site: Richmond, VA
Checkmark Icon$0
18-0332903/19/2019Claimant(s): Edelman Financial Services
Claimant Lawyers(s): Connie Bertram
Respondent(s): Cary Street Partners Investment Advisory, Raymond James Reibel II
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Jane C. Carney, Jonathan Edward Levine, Karl Dean Larson
Hearing Site: Richmond, VA

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