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FINRA Awards for Charleston, WV

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Displaying 11-20 out of 35 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0285212/01/2016Claimant(s): Omega Facility Services Solutions Surety
Claimant Lawyers(s): Brandon S. Steele
Respondent(s): Edward Herbst, Wellington Shields & Co.
Respondent Lawyers(s): Neil A. Sussman
Arbitrator(s): Thomas H. Barnard, Christopher M. McMurray, John C. Aten
Hearing Site: Charleston, WV
Checkmark Icon$0
16-0121311/04/2016Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Jason Davis
Respondent Lawyers(s): Jason Blair Davis
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charleston, WV
13-0056105/21/2014Claimant(s): Hugh Dale
Claimant Lawyers(s): Hugh D. Dale
Respondent(s): Neil Morganbesser, Cappello Capital Corp.
Respondent Lawyers(s): Jeffrey A. Sklar, Matthew N. Falley
Arbitrator(s): Donald B. Vaden, Christopher Lee Howard, Stephen M. Bales
Hearing Site: Charleston, WV
Checkmark Icon$3,698
13-0308205/14/2014Claimant(s): United Brokerage Services
Claimant Lawyers(s): Rose L. Wilson
Respondent(s): John Pickens
Respondent Lawyers(s): John Morgan Pickens
Arbitrator(s): Donita M. King
Hearing Site: Charleston, WV
12-0292403/27/2014Claimant(s): Ruth Saldanha
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): Raymond James Financial Services., Todd Dudley
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): Charles D. Underwood
Hearing Site: Charleston, WV
Checkmark IconExpungement
12-0417011/29/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex Komoroski
Respondent(s): Jeffery Thomas
Respondent Lawyers(s): Jeffery Dwayne Thomas
Arbitrator(s): Alex H. Keller
Hearing Site: Charleston, WV
13-0093711/13/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Charles Music
Respondent Lawyers(s): Charles A. Music
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Charleston, WV
12-0373407/24/2013Claimant(s): Scott Gordon
Claimant Lawyers(s): Scott Gordon
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Thomas H. Barnard
Hearing Site: Charleston, WV
Checkmark Icon$0
13-0032007/05/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jason Warner
Respondent(s): Phillip Conley
Respondent Lawyers(s): Phillip Wayne Conley
Arbitrator(s): Stuart H. Dunn
Hearing Site: Charleston, WV
11-0154910/19/2012Claimant(s): Edward LaPosta
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jill Y. Coen
Arbitrator(s): Donald B. Vaden
Hearing Site: Charleston, WV
Checkmark IconExpungement

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