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FINRA Awards for Phoenix, AZ

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Displaying 451-457 out of 457 results
Case Number Award Date Case Summary Customer Case? Amount Granted
05-0384912/04/2007Claimant(s): Rodney Beck, Stacey Beck, Rodney R. Beck Living Trust d 12-05-04, Stacey Beck Living Trust dtd 12-05-94
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): William Artmann, Investacorp.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Richard Marc Weinroth, Allan D. Breyer, Karen D. Hanson
Hearing Site: Phoenix, AZ
Checkmark Icon$1,150,000
06-0245910/30/2007Claimant(s): Susan Beesmyer, Beesmyer Family Trust Agreement 10/96
Claimant Lawyers(s): J. Emery Barker
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Charles W. Herf, Allan Levey, Merton E. Marks
Hearing Site: Phoenix, AZ
Checkmark Icon$25,000
06-0531810/25/2007Claimant(s): Ann Serrato
Claimant Lawyers(s): Michael C. Deutsch
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Jerry H. Friedland, Richard I. Topus, Barbara Mark-Dreyfuss
Hearing Site: Phoenix, AZ
07-0151109/17/2007Claimant(s): Ronald Tomaszewski, Susan Tomaszewski
Claimant Lawyers(s): Ronald E. Tomaszewski, Susan M. Tomaszewski
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Abby Henig
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
Checkmark Icon$0
06-0167409/04/2007Claimant(s): Mark Quale
Claimant Lawyers(s): Theodore G. Eppenstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carol B. Trask
Arbitrator(s): Marc Kalish, Beryl I. Dulsky, Denis Frank
Hearing Site: Phoenix, AZ
07-0038508/17/2007Claimant(s): Ana Vasquez
Claimant Lawyers(s): Ricardo A. Bracamonte
Respondent(s): Chase Investment Services Corp., J.P. Morgan Securities Inc
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Howard W. Shannon, Joe S. Tarrer, Linda M. Parker
Hearing Site: Phoenix, AZ
Checkmark Icon$0
07-0022308/13/2007Claimant(s): Richard Caris
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph L. Hood
Arbitrator(s): Marc Kalish, Robert W. Bruns, Curtis L. Ritland
Hearing Site: Phoenix, AZ
Checkmark Icon$690,430

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