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FINRA Awards for Executor

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0067206/07/2018Claimant(s): Kenneth A. Manning, Executor
Claimant Lawyers(s): David K Silverberg
Respondent(s): Michael Giokas, Giokas Wealth Advisors
Respondent Lawyers(s): Michael Giokas
Arbitrator(s): James S. Parker, Krista Gottlieb, Gary E Vickers
Hearing Site: Buffalo, NY
Checkmark Icon$80,768
07-0279004/04/2008Claimant(s): Francis G. Laguaite, Executor
Claimant Lawyers(s): Francis G. Laguaite
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Gary P. Alexander, Robert H. Putnam, Michael J. Ahlstrom
Hearing Site: Atlanta, GA
Checkmark Icon$0

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