FINRA Awards for William Kent Brown

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Displaying 11-15 out of 15 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
17-00373	11/21/2017	Claimant(s): Jeremy Gottlieb Claimant Lawyers(s): Adam D. Palmer Respondent(s): First Allied Securities. Respondent Lawyers(s): Jeremy Wooden Arbitrator(s): William Kent Brown, William E. Schneider, Alisa Matire Hearing Site: Boca Raton, FL
16-00339	05/16/2017	Claimant(s): Barclays Capital Inc. Claimant Lawyers(s): G. Wayne Hillis Respondent(s): Ginny Neal Respondent Lawyers(s): Brian J. Neville Arbitrator(s): Jay L. Valinsky, Gloria O. North, William Kent Brown Hearing Site: Boca Raton, FL
11-03618	07/08/2013	Claimant(s): Sandra Meisenzahl, Leonard B. Meisenzahl Trust, Sandra Meisenzahl Revocable Living Trust Claimant Lawyers(s): W. Scott Turnbull Respondent(s): Gerald Fasanella, Mutual Service Corporation, AIG Financial Advisors., Next Financial Group. Respondent Lawyers(s): Craig A. Vollono, Fred N. Knopf, Marc S. Dobin, Peter B. King Arbitrator(s): Steven Gerard Goerke, William Kent Brown, Lee Alan Rosenblum Hearing Site: Boca Raton, FL		Expungement
11-00087	10/30/2012	Claimant(s): Marvin Adler, Theda Adler, The Theda Adler Trust U/A/D 1/15/97 Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): UBS Financial Services Inc., Morgan Stanley Respondent Lawyers(s): Gregg P. Garneau, Randi Perry Spallina Arbitrator(s): Kalman J. Lester, William Kent Brown, Alvin Abraham Simon Hearing Site: Boca Raton, FL		Expungement
10-00933	02/24/2011	Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Cory S. Zadanosky Respondent(s): Richard Plevy Respondent Lawyers(s): Adam D. Palmer Arbitrator(s): Jeffrey C. Thompson, Ilisa J. Smukler, William Kent Brown Hearing Site: Boca Raton, FL