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FINRA Awards for IRA

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Displaying 10 out of 129 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0324807/09/2024Claimant(s): Charles Gottschalk, IRA
Claimant Lawyers(s): Lysa L. Postula-Stein
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Martin Brosnan
Hearing Site: Detroit, MI
Checkmark IconDismissed by Rule 12206
23-0028205/28/2024Claimant(s): Donald Saunders, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Concourse Financial Group Securities, In
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Leah Murray Albert, Kim L. Kirn, David E. Crawford
Hearing Site: St. Louis, MO
Checkmark Icon$1,214,750
22-0296807/24/2023Claimant(s): Jefferey B. Lurner, IRA
Claimant Lawyers(s): Jefferey B. Lurner
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Stephen Howard Marcus
Hearing Site: Los Angeles, CA
Checkmark Icon$0
21-0060612/21/2022Claimant(s): Mitchell Bublitz, IRA
Claimant Lawyers(s): Michael MacDonald
Respondent(s): Stifel, Nicolaus & Co.., Richard Schultz
Respondent Lawyers(s): Julie H. Firestone
Arbitrator(s): Jack D. Elmquist, Douglas J. Nesbit, Mary Louise Hilfiker
Hearing Site: Minneapolis, MN
Checkmark Icon$1,000
19-0100607/15/2022Claimant(s): Frank K. Lee, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): First Kentucky Securities Corporation
Respondent Lawyers(s): Richard S. Frankowski
Arbitrator(s): Stuart D. Summers, Steven Michael McCauley, Kim L. Kirn
Hearing Site: Louisville, KY
Checkmark Icon$609,050
20-0059902/25/2022Claimant(s): Nicholas M. Del Ninno, IRA
Claimant Lawyers(s): Andrew M. Greenidge
Respondent(s): Robert W. Baird & Co. Incorporated, J.J.B. Hilliard, W.L. Lyons, Randal Master
Respondent Lawyers(s): Joseph C. Coates, III
Arbitrator(s): David M. Snyder, Shameeka E. Quallo, Dwayne Eddie Hickman
Hearing Site: Orlando, FL
Checkmark IconExpungement
20-0312611/18/2021Claimant(s): James Freund, IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Leonard Arthur Nelson, Sally J. Wiggins, Maxwell Charles Livingston
Hearing Site: Milwaukee, WI
Checkmark Icon$0
19-0321903/27/2020Claimant(s): Daniel T. Kuhl, IRA
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Gregory P. Szuter
Hearing Site: Columbus, OH
Checkmark Icon$300
18-0408503/02/2020Claimant(s): Cathy Mina, IRA, Louis Mina IRA, Cathy R. Mina, Rev. Trust
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): Gary M. Landau, David P. Slater, Robert Stanley Zack
Hearing Site: Boca Raton, FL
Checkmark Icon$0
19-0142512/17/2019Claimant(s): Anna Shursen, IRA, James Higbee
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Bobby James, SCF Securities.
Respondent Lawyers(s): Gary S. Kessler, Jacob Brian Kring
Arbitrator(s): Louis J. Weber, Robert J. Gregory, Larry Adair
Hearing Site: Dallas, TX
Checkmark IconDismissed by Rule 12206/12504

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