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FINRA Awards for A.J. Seier

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Displaying 10 out of 17 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0098802/02/2024Claimant(s): Carolyn Distler, Robert Distler
Claimant Lawyers(s): Erin M. Phillips
Respondent(s): Edward Jones, Paul Jansen
Respondent Lawyers(s): Matthew E. Johnson
Arbitrator(s): Jeffry M. Bauer, A.J. Seier, MaryJane Rabier
Hearing Site: St. Louis, MO
Checkmark IconExpungement
19-0160011/19/2021Claimant(s): Jeff Londis, Trustee of Londis Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Thomas Joseph Atkinson, A.J. Seier, Douglas Charles Weinstein
Hearing Site: Nashville, TN
Checkmark Icon$0
20-0420508/03/2021Claimant(s): Alex Shore
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Joseph Charles Smolira, A.J. Seier, James A. McIntosh
Hearing Site: Nashville, TN
20-0186701/25/2021Claimant(s): Joseph Young
Claimant Lawyers(s): Brian Luther
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): A.J. Seier
Hearing Site: Memphis, TN
15-0067501/29/2019Claimant(s): Luis Colon Martinez
Claimant Lawyers(s): Normarie Rodriguez-Perez
Respondent(s): Popular Securities
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): William H. Fleece, A.J. Seier, Joseph A Newcomb
Hearing Site: San Juan, PR
Checkmark IconExpungement
15-0244510/24/2018Claimant(s): Manuel Diaz
Claimant Lawyers(s): Eric Quetglas-Jordan
Respondent(s): Popular Securities
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Karl A. Vogeler, A.J. Seier, Clarence B. Johnson
Hearing Site: San Juan, PR
Checkmark Icon$0
16-0293012/05/2017Claimant(s): Sammye Brock, Estate of Dr. J. Don Brock
Claimant Lawyers(s): Richard W. Bethea
Respondent(s): Frank Gibson, May Gibson, Raymond, James & Associates.
Respondent Lawyers(s): Aaron Furniss, Michael A. Brady
Arbitrator(s): Richard Manuel Barcia, A.J. Seier, Robert William Copeland
Hearing Site: Nashville, TN
Checkmark Icon$162,820
14-0350606/27/2017Claimant(s): Barbara Dean
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Leah A. Murray, Michael L. Lyons, A.J. Seier
Hearing Site: St. Louis, MO
Checkmark Icon$0
11-0162907/25/2016Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Lee Bloom, Richard Dwyer
Respondent Lawyers(s): Rogge Dunn
Arbitrator(s): John P. Cullem, Frank William Savino, A.J. Seier
Hearing Site: Orlando, FL
14-0090403/11/2015Claimant(s): Antoinette Wilkerson, Bruce Wilkerson, Wilkerson Family Education Trust
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Resource Horizons Group LLC
Respondent Lawyers(s): Kelly S. Miller
Arbitrator(s): Fred M. Ridolphi, Lita S Menkin, A.J. Seier
Hearing Site: Nashville, TN
Checkmark Icon$2,623,000

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