FINRA Awards for BMO Harris Financial Advisors.

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Displaying 6 out of 6 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
21-00982	12/07/2023	Claimant(s): Dania Sepahrokh, Jerome Menig, Renee Vonalmen, Saurin Patel, Tamaira Suwanski Claimant Lawyers(s): Stephany D. McLaughlin Respondent(s): BMO Harris Financial Advisors. Respondent Lawyers(s): Randall M. Lending Arbitrator(s): Michael S. Matek, Ann Hagerty, Robert F Hogan Hearing Site: Chicago, IL
22-00560	12/19/2022	Claimant(s): Erin Daniels Claimant Lawyers(s): Dochtor Kennedy Respondent(s): BMO Harris Financial Advisors. Respondent Lawyers(s): Maria L. Kreiter Arbitrator(s): Floyd Gerry Hoffman Hearing Site: Phoenix, AZ
20-02707	09/27/2021	Claimant(s): Erik Feldhaus Claimant Lawyers(s): Dochtor Kennedy Respondent(s): BMO Harris Financial Advisors. Respondent Lawyers(s): Maria L. Kreiter Arbitrator(s): Gregory G. Gocek Hearing Site: Chicago, IL
16-02688	01/27/2017	Claimant(s): M. Korbin Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): BMO Harris Financial Advisors. Respondent Lawyers(s): Maria L. Kreiter Arbitrator(s): Paul J. Burkhart Hearing Site: Boca Raton, FL		Dismissed by Rule 12504
15-02080	10/11/2016	Claimant(s): BMO Harris Financial Advisors. Claimant Lawyers(s): Maria Kreiter Respondent(s): Neil Moscicki, Wayne Hummer Investments L.L.C. Respondent Lawyers(s): Melvin G. Moseley Arbitrator(s): Frank Samuelsohn, Thomas F. Mahoney, Michael F. Jordan Hearing Site: Chicago, IL
14-00573	05/19/2015	Claimant(s): Kurt Koehler Claimant Lawyers(s): Nathaniel Wolf Respondent(s): BMO Harris Financial Advisors. Respondent Lawyers(s): Erin M. (Maggie) Cook Arbitrator(s): David G. Skeen, Terry F. Peppard, Susan H. Schleisner Hearing Site: Milwaukee, WI