Potomac Analytics' Logo

FINRA Awards for Alan S. Brodherson

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 31-40 out of 94 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0071302/14/2019Claimant(s): Mark Rosenberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, CIBC World Markets Corp.
Respondent Lawyers(s): Alan S. Brodherson, Elizabeth Rose Aylett
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
18-0053101/25/2019Claimant(s): William Glassman
Claimant Lawyers(s): Timothy C. Lynch
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Laura A. Kaster
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
18-0057812/28/2018Claimant(s): Shawn Richardson
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Geoffrey S. Beckham
Arbitrator(s): Peter H. Daly
Hearing Site: Seattle, WA
18-0046211/19/2018Claimant(s): Matthew Shull
Claimant Lawyers(s): Jason M. Kueser
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
18-0037311/01/2018Claimant(s): Gary Davis
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Samuel L. McClaren
Hearing Site: Denver, CO
17-0165010/25/2018Claimant(s): Stephen Whitman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Morgan Stanley
Respondent Lawyers(s): Alan S. Brodherson, Jeffrey S. Jacobi
Arbitrator(s): Michael E. Rohde
Hearing Site: San Diego, CA
18-0108710/19/2018Claimant(s): Joe Cotten
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
18-0120009/28/2018Claimant(s): John Degelmann
Claimant Lawyers(s): Elizabeth Ridley
Respondent(s): Prudential Investment Management Service
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
18-0003409/13/2018Claimant(s): Douglas Donnelly
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Matthew P. Fischer
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Seattle, WA
18-0063208/24/2018Claimant(s): Curtis Frazee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD

94 Results

Display: