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FINRA Awards for Michael Todd Clements

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Displaying 11-18 out of 18 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0293506/08/2017Claimant(s): Mark Dryden
Claimant Lawyers(s): James Bouklas
Respondent(s): Michael Clements, Tory Duggins, Avenir Financial Group
Respondent Lawyers(s): Michael Todd Clements, Michael Clements, Tory A. Duggins
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: Honolulu, HI
Checkmark Icon$26,727
15-0274403/22/2017Claimant(s): Bernard Revocable Living Trust
Claimant Lawyers(s): Mary Cate Cicero
Respondent(s): Cesar Rodriguez, David Allen, Michael Clements, Avenir Financial Group
Respondent Lawyers(s): Cesar Rodriguez, David Allen, Michael Todd Clements, Michael Clements, CCO
Arbitrator(s): Lawrence R. Commers, Michael Allen Meixner, Robert Meredith Altman-Segal
Hearing Site: Minneapolis, MN
Checkmark Icon$250,180
16-0077409/28/2016Claimant(s): Henry Bladon
Claimant Lawyers(s): Henry Bladon
Respondent(s): Avenir Financial Group
Respondent Lawyers(s): Michael Clements
Arbitrator(s): Amy Banet
Hearing Site: New York, NY
Checkmark Icon$33,266
13-0079306/13/2014Claimant(s): Jorge Gutierrez
Claimant Lawyers(s): David I. Greenberger
Respondent(s): Jason Barger, Schroder Fund Advisors LLC
Respondent Lawyers(s): Stephen Asay, Thomas Hill
Arbitrator(s): Monica I. Salis, Michael Todd Clements, James M. Scutti
Hearing Site: Miami, FL
12-0376302/12/2014Claimant(s): Laura Martin-Schwarzman
Claimant Lawyers(s): Ronald S. Platt
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin W. Shaughnessy
Arbitrator(s): Michael Todd Clements, John E. Sutton, Peter A. Portley
Hearing Site: Boca Raton, FL
04-0676303/01/2010Claimant(s): Carol Bach, Daniel Bach, Daniel Bach c/f Marisa Serefina, Daniel Bach IRA, Daniel Bach SEP IRA, Jonathan Bach, Eric Bach & Daniel Bach, Olga Bach & Daniel Bach, Steven Bach, Laura Bach & Daniel Bach
Claimant Lawyers(s): Kevin J. Begley
Respondent(s): Anthony Calascione, Darren DeLuca, Dominick Bianco, Gregory Hasho, Joel Podelsky, Kenneth Rodgers, Lawrence Balzano, Lizy Chandy, Thomas Francis, Thomas Tiernan, Continental Broker-Dealer Corp., Wexford Clearing Services
Respondent Lawyers(s): Anthony Joseph Calascione, Craig Riha, Darren DeLuca, Dominick Bianco, Gregory Mumtaz Hasho, Joel S. Podelsky, John R. Braatz, Kenneth Rodgers, Lawrence Balzano, Michael Clements, Thomas Paul Francis, Timothy Feil
Arbitrator(s): Joseph R. Lally, Robert S. Getman, David Denison
Hearing Site: Newark, NJ
Checkmark Icon$0
06-0000408/25/2008Claimant(s): Jeffrey and Alexia Hamilton
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Dennis Donnelly, Gregory Hasho, Lawrence Donato, Lizy Chandy, Michael Clements, Vincent Bonato, Continental Broker-Dealer Corp., Gregory M. Hasho Voting Trust, NF Clearing.
Respondent Lawyers(s): Compliance Officer, Gregory M. Hasho, Michael G Shannon, Michael G. Shannon, Michael Clements, Scott Wassmuth
Arbitrator(s): Linda Gelfand Leibig, Arthur J. Giacomarra, Melinda S. Milberg
Hearing Site: Boston, MA
Checkmark Icon$0
06-0220109/14/2007Claimant(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Patricia Sons Biswanger
Respondent(s): James Montalto, James Weil
Respondent Lawyers(s): Elise Schwarz
Arbitrator(s): Nancy Plesser Wendell, Michael Todd Clements, Robert W. Kenter
Hearing Site: New York, NY

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