Potomac Analytics' Logo

FINRA Awards for IRA

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

Filter by:

Sort by:

Displaying 11-20 out of 129 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0375307/22/2019Claimant(s): Eliot Barnett, Emily Bernstein, Jason Werner, Jeffrey Werner, Jessica Barnett, Laurie Werner, Louis Barnett, Matthew Bernstein, Nathan Barnett, Rhoda Bernstein, Eliot B. Barnett IRA, Jason B. Werner, IRA, Jeffrey M. Werner, Lon T. Werner, Matthew B. Bernstein, B3G Partnership, Barnett Grandchildren Partnership, II, BGC Initial Trust, Barnett Exempt Marital Trust, Barnett Family Foundation, et al
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Christopher Anthony
Respondent Lawyers(s): Christopher Paul Anthony
Arbitrator(s): Louis J. Weber, Edward Bradbury Cloutman, Richard Thomas Huston
Hearing Site: Dallas, TX
Checkmark Icon$50,000
17-0149702/01/2019Claimant(s): Jana Monahan, Mark Monahan, IRA
Claimant Lawyers(s): Bradley Schnur
Respondent(s): J.D. Nicholas & Associates.
Respondent Lawyers(s): James Dolan
Arbitrator(s): Raymond J. Sterling
Hearing Site: Detroit, MI
Checkmark Icon$0
17-0270001/31/2019Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Matthew Maczko, IRA, Matthew Maczko and Loretta Maczko Joint, Loretta Maczko Dec of Trus, Matthew Maczko Dec of Trust
Respondent Lawyers(s): Matthew Christopher Maczko
Arbitrator(s): Arne R. Rode, Jerome K. Rumps, Alan Rosen
Hearing Site: Chicago, IL
Checkmark Icon$0
17-0222112/18/2018Claimant(s): George Porter, George W. Porter, Jr., IRA, Porter Living Trust
Claimant Lawyers(s): Stephen D. Wadsworth
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Mark L. Williams, Mary Elizabeth Skelnik, Joseph Neal Richardson
Hearing Site: Birmingham, AL
Checkmark Icon$221,663
18-0219911/08/2018Claimant(s): Danny Wrubel, Josephine Marion, Julie Ferrario, Julie Vipond, Karen Fell, Marilynn Peterson, Shirely Maiuri, Teresa Wrubel, Travis Peterson, Danny J. Wrubel IRA, Marilynn L. Person, IRA, Ferrario Family Revocable Trust, Marilynn L. Peterson Revocable Trust, Marion Family Living Trust, Marion Irrevocable Trust, Shirley A. Maiuri
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): Jackie Wadsworth, IMS Securities.
Respondent Lawyers(s): Jackie D. Wadsworth, Jackie Wadsworth
Arbitrator(s): Patrick R. Sughroue, Edward A. Porter, Mark Gregory Brackon
Hearing Site: Detroit, MI
Checkmark Icon$1,019,210
18-0274209/20/2018Claimant(s): Judy J. Smith, IRA, Michael D. Smith, Michael D. Smith and Judy J. Smith JTWRO
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Newport Coast Securities.
Respondent Lawyers(s): Dan Druz
Arbitrator(s): Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
Checkmark Icon$816,000
17-0064808/22/2018Claimant(s): Robert Price, Robert Alan Price, IRA
Claimant Lawyers(s): Theodore C. Houdek
Respondent(s): KCD Financial.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Lawrence R. Maxwell, James W. Kerr, Christian Dennie
Hearing Site: Dallas, TX
Checkmark IconExpungement
17-0094208/20/2018Claimant(s): David E. Vittori, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wayne Hummer Investments L.L.C.
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Theodore W. Wrobleski, Mark L Miller
Hearing Site: Chicago, IL
Checkmark Icon$0
16-0317103/29/2018Claimant(s): Carol S. Warman, IRA, Paul Warman, Warman Revocable Trust dated 10-09-98
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Morgan Stanley, George Manska, Lynda Schultz
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Larry Edmonson, A. Joel Klein, Daniel Clay McGuire
Hearing Site: Las Vegas, NV
Checkmark IconExpungement
16-0358610/16/2017Claimant(s): Samuel Brezel, IRA
Claimant Lawyers(s): Samuel Brezel
Respondent(s): Morgan Stanley, Kenneth Olsen
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Leah R. Marks
Hearing Site: New York, NY
Checkmark Icon$0

129 Results

Display: