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FINRA Awards for WMA Securities.

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Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0112412/30/2021Claimant(s): Dao Phan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): WMA Securities.
Respondent Lawyers(s): Clive Slovin
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
20-0275805/14/2021Claimant(s): Stephen Dissette
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): WMA Securities.
Respondent Lawyers(s): Clive Slovin
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
18-0217501/25/2019Claimant(s): John Balcerzak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): WMA Securities., World Group Securities.
Respondent Lawyers(s): Clive Slovin, Susan D. Duff
Arbitrator(s): Lynne T. Albert
Hearing Site: Charlotte, NC
16-0322410/09/2017Claimant(s): Vivienne Schleu
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, WMA Securities., World Group Securities.
Respondent Lawyers(s): Clive Slovin, Jon D. Kaplon, Susan D. Duff
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
06-0323204/23/2009Claimant(s): Barbara Irsch
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): United Securities Alliance., WMA Securities.
Respondent Lawyers(s): Jeffrey J. Cannella, William H. McLean
Arbitrator(s): David J. Hase, Sharon A. Green, James Lewis Molloy
Hearing Site: Milwaukee, WI
Checkmark Icon$227,300
07-0328507/24/2008Claimant(s): Susan Sullivan
Claimant Lawyers(s): Jonathan Schaan
Respondent(s): Elena Kane, Lowell McCain, WMA Securities.
Respondent Lawyers(s): Cameron W. Thomas, William H. McLean
Arbitrator(s): Frederick K. Steiner
Hearing Site: Las Vegas, NV
Checkmark Icon$6,600

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