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FINRA Awards for L.L.C

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0208110/04/2022Claimant(s): Jill Jester
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Dinosaur Financial Group, L.L.C
Respondent Lawyers(s): Paul Koepp
Arbitrator(s): Peter Ordower, Gary P. Price, Lynn Hirschfeld Brahin
Hearing Site: Indianapolis, IN
Checkmark Icon$429,143
20-0083912/28/2021Claimant(s): Bruce Rogers, Kent Rogers
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Dinosaur Financial Group, L.L.C
Respondent Lawyers(s): M. William Munno
Arbitrator(s): Amelia F. Adams, Richard W. Dissen, Allen M. Kerpan
Hearing Site: Louisville, KY
Checkmark Icon$0
14-0011006/02/2014Claimant(s): AXA Advisors, AXA Network, L.L.C
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Michael Grattan
Respondent Lawyers(s): Michael Ziegler
Arbitrator(s): Edith N. Dinneen
Hearing Site: Tampa, FL
07-0107504/22/2008Claimant(s): Mark Mills
Claimant Lawyers(s): John R. Fahy
Respondent(s): Charles Gallamore, Southwest Texas Capital, L.L.C
Respondent Lawyers(s): Phillip W. Offill
Arbitrator(s): George F. Longino, Russell H Hairston, Robert R. Marquardt
Hearing Site: Dallas, TX

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