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FINRA Awards for Jay M. Vogelson

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0184804/08/2022Claimant(s): Michael Escobar
Claimant Lawyers(s): James P. Galvin
Respondent(s): Mutual Of Omaha Investor Services.
Respondent Lawyers(s): Trenten P. Bausch
Arbitrator(s): Kurt L. Smith, Robert J. Gregory, Jay M. Vogelson
Hearing Site: Dallas, TX
11-0364911/14/2016Claimant(s): PR Liquidating Trust
Claimant Lawyers(s): Andrew B. Sommerman
Respondent(s): Dewaay Financial Network
Respondent Lawyers(s): Robbie Howe
Arbitrator(s): R. Theodore Moock, Mark L. Williams, Jay M. Vogelson
Hearing Site: Dallas, TX
Checkmark Icon$3,206,070
15-0319411/14/2016Claimant(s): Kevin Gross
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Robert L. Yeager, James C. Allums, Jay M. Vogelson
Hearing Site: Dallas, TX
Checkmark IconExpungement
11-0460109/05/2014Claimant(s): Estate of Roberta A. Hott
Claimant Lawyers(s): Bobby M. Rubarts
Respondent(s): Southwest Securities., Mark Hepworth, S&P Investors.
Respondent Lawyers(s): Andrew T. Hepworth, John T. Gerhart
Arbitrator(s): Robert L. Yeager, Jay M. Vogelson, Kerry Wallace Bowman
Hearing Site: Dallas, TX
Checkmark Icon$0
13-0127705/07/2014Claimant(s): Timothy Weber
Claimant Lawyers(s): Robert M. Thornton
Respondent(s): Goldman, Sachs and Company, The Goldman Sachs Group.
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): Thomas M. Campbell, Lawrence R. Maxwell, Jay M. Vogelson
Hearing Site: Dallas, TX
10-0405605/04/2012Claimant(s): Donald A. Hausfeld & Judith A. Hausfeld
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Alexander B. Feinberg
Arbitrator(s): Marvin J. Klein, David L. Maislen, Jay M. Vogelson
Hearing Site: Atlanta, GA
Checkmark Icon$402,101
10-0206501/05/2012Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey Manzella
Respondent(s): Andrew Williams
Respondent Lawyers(s): W. Ashton Randall
Arbitrator(s): R. Phillip Reed, Jill M. Zacha, Jay M. Vogelson
Hearing Site: Dallas, TX
10-0529710/27/2011Claimant(s): Rosalin Rogers
Claimant Lawyers(s): Rosalin Rogers
Respondent(s): Randall Pope
Respondent Lawyers(s): Randall Lane Pope
Arbitrator(s): Joann Peters, Robert L. Yeager, Jay M. Vogelson
Hearing Site: Dallas, TX
Checkmark Icon$182,334

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