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FINRA Awards for Alan J. Duncan

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0475706/15/2012Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Robert Soucy
Respondent Lawyers(s): Robert Henri Soucy
Arbitrator(s): Alan J. Duncan, Herbert Murez, Paul E. Dahlman
Hearing Site: Las Vegas, NV
09-0677205/08/2012Claimant(s): Susan Shalov
Claimant Lawyers(s): Robert Bertsch
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Alan J. Duncan, R. Peter Faris, Brent J. Rosenbaum
Hearing Site: Las Vegas, NV
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07-0047804/07/2010Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Michael Jake Ewart
Respondent(s): Jodie Cohen, Nathan Lorbietzki, Robert Barron
Respondent Lawyers(s): L. Christopher Rose, Michael Jake Ewart
Arbitrator(s): Alan J. Duncan, William E. Winfield, David L. Moran
Hearing Site: Las Vegas, NV

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