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FINRA Awards for President

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Displaying 10 out of 14 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0371305/17/2017Claimant(s): CEA Atlantic Advisors
Claimant Lawyers(s): Guy Burns
Respondent(s): Broadband Fiber
Respondent Lawyers(s): Chris Balun, President
Arbitrator(s): Roger C. Benson
Hearing Site: Tampa, FL
14-0260401/22/2016Claimant(s): Daniel Fleming
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Brookville Capital Partners
Respondent Lawyers(s): Anthony Lodati, President
Arbitrator(s): Edward M. Olson, Patrick R. Sughroue, Melissa B. VanDam
Hearing Site: Detroit, MI
Checkmark Icon$241,940
11-0114602/07/2013Claimant(s): Angela Fini-Ross
Claimant Lawyers(s): Patrick A. Guentner
Respondent(s): Allen Green, A.Green Financial Group., Cullum & Burks Securities., Royal Securities Company
Respondent Lawyers(s): Brian J. Masternak, Mark L. Kowalsky, Steven L. Burks, President
Arbitrator(s): Thomas Anthony Van Tiem, Ann W. Hartmann, Sandra J. Budnick
Hearing Site: Detroit, MI
Checkmark Icon$400,375
11-0391512/07/2012Claimant(s): Richard Paul
Claimant Lawyers(s): Peter C. Rageas
Respondent(s): Allegiant Securities L.L.C.
Respondent Lawyers(s): Dennis Flanagan Jr., President
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
10-0175608/16/2012Claimant(s): Frank Carroll
Claimant Lawyers(s): John R. Strawn
Respondent(s): Muhammad Khan, Bluechip Securities.
Respondent Lawyers(s): Muhammad A. Khan, President
Arbitrator(s): R. Lee Britton Jr., Carol Frances Relihan, Camille Morris Tankersley
Hearing Site: Houston, TX
Checkmark Icon$446,130
11-0319605/07/2012Claimant(s): Francis Guasta
Claimant Lawyers(s): Jack (Francis V) Guasta
Respondent(s): Kentucky Financial Group., Private Client Services
Respondent Lawyers(s): John E. Hill, President
Arbitrator(s): John F Fennig
Hearing Site: Chicago, IL
10-0171506/20/2011Claimant(s): Janice Ebeling, Leslie Ebeling, Leslie J. Ebeling,Custodian of his IRA
Claimant Lawyers(s): Paul D. Malmfeldt
Respondent(s): Ralph Schneider, Okoboji Financial Services.
Respondent Lawyers(s): Ralph R. Schneider, President, Ralph S. Schneider
Arbitrator(s): Christine C. DeMoss, Lee T. Beske, Frederick Ramos
Hearing Site: Minneapolis, MN
Checkmark Icon$223,870
10-0375606/03/2011Claimant(s): Adam Tymrakiewicz, Rosemarie Tymrakiewicz
Claimant Lawyers(s): Stephen R. Baylerian
Respondent(s): Jason Mutascio, Brewer Financial Services
Respondent Lawyers(s): Adam Erickson, President, Jason Michael Mutascio
Arbitrator(s): Martin I. Reisig
Hearing Site: Detroit, MI
Checkmark Icon$64,225
09-0149406/29/2010Claimant(s): Kenneth Iwanicki, Penelope Iwanicki
Claimant Lawyers(s): Michael J. Calvey
Respondent(s): Richard Lewin, Robert Lewin, Basic Investors Inc., Penson Financial Services.
Respondent Lawyers(s): Jonathan D. Neerman, Mark S. Gregory, Thomas Laundrie, President
Arbitrator(s): Robert W. Edler, Theodore M. Utchen, Craig D. Cook
Hearing Site: Chicago, IL
Checkmark Icon$0
08-0262002/01/2010Claimant(s): The Richard Ritchie Trust, The Roberta Ritchie Trust
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Keith Pagan, Dakota Securities International.
Respondent Lawyers(s): Bruce Zipper, President, Paul A. Alsdorf
Arbitrator(s): Monroe Mitchel, John H. Claudy, Paul Chernis
Hearing Site: Charlotte, NC
Checkmark IconExpungement

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