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FINRA Awards for Phoenix, AZ

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Displaying 10 out of 457 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0358511/26/2024Claimant(s): Dylan Brosious
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Floyd Gerry Hoffman
Hearing Site: Phoenix, AZ
23-0151211/21/2024Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Keith J. Barnett
Respondent(s): Robert Chambers
Respondent Lawyers(s): Robert Mark Chambers
Arbitrator(s): Harry Hamilton Herts, Zeek Ojeh, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
24-0047210/24/2024Claimant(s): Michelle Anthony
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Matthew P. Fischer
Arbitrator(s): Barbara M. Zak
Hearing Site: Phoenix, AZ
24-0017609/13/2024Claimant(s): Securities America.
Claimant Lawyers(s): Gregory M. Curley
Respondent(s): Jeremy Belfiore
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Richard Marc Weinroth, Glenn Allen Baker, Patrick Irvine
Hearing Site: Phoenix, AZ
24-0030908/26/2024Claimant(s): Jameson Van Houten
Claimant Lawyers(s): Benjamin Biard
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Jonathan French
Arbitrator(s): Monica I. Salis, Gregory D. Hoffmann, John R. Wylie
Hearing Site: Phoenix, AZ
23-0292608/05/2024Claimant(s): Gregory Richards
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Benchmark Investments, Centaurus Financial., Questar Capital Corporation
Respondent Lawyers(s): Jared Merlin, Katherine C. Donlon, Michael J. Carey
Arbitrator(s): Barbara M. Zak, William B. Morgan, Jeremy Kent Holmes
Hearing Site: Phoenix, AZ
23-0283507/12/2024Claimant(s): Michael Bristoll
Claimant Lawyers(s): James P. Galvin
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula Shaffner
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
23-0227704/19/2024Claimant(s): Christine and Claude Inch
Claimant Lawyers(s): Christine and Claude Inch
Respondent(s): Pruco Securities., Prudential Equity Group, Harry Weber
Respondent Lawyers(s): Jennifer E. Novoselsky, Kendra S. Canape
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
Checkmark Icon$0
23-0105704/12/2024Claimant(s): Michael Lombardi
Claimant Lawyers(s): Alan S. Baskin
Respondent(s): David Sherwood, Greenberg Financial Group
Respondent Lawyers(s): Rachel K. Douglas
Arbitrator(s): Richard Kent Mahrle
Hearing Site: Phoenix, AZ
Checkmark Icon$102,559
23-0141904/05/2024Claimant(s): Thomas Mccausland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., RBC Capital Markets LLC
Respondent Lawyers(s): Adam M. Kauff, Samuel F.B. Audley
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ

457 Results

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