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FINRA Awards for Richard S. Frankowski

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Displaying 21-30 out of 98 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0118805/15/2018Claimant(s): Peggy Batson, The Estate of Evelyn C. Batson, Peggy L. Batson on behalf of her IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): First Kentucky Securities Corporation
Respondent Lawyers(s): Richard S. Frankowski
Arbitrator(s): Brian James Tagtmeier, Chermaine Nkomo, Daniel L. Fulkerson
Hearing Site: Houston, TX
Checkmark Icon$35,000
17-0019706/30/2017Claimant(s): David Kaplan, Nedra Kaplan
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Aaron Hattem, Stifel, Nicolaus & Co.., Neil Hattem
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
Checkmark Icon$300
16-0338406/20/2017Claimant(s): Brenda Anderson, John Anderson
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Jerry McCutchen, Berthel, Fisher & Company Financial Serv, Next Financial Group.
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Harvey R. Linder, Mary Elizabeth Skelnik, Joseph Neal Richardson
Hearing Site: Birmingham, AL
Checkmark IconDismissed by Rule 12206
16-0356805/23/2017Claimant(s): Jack Shewmake
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Bryce Willis, Terry Bagwell, MetLife Securities Inc.
Respondent Lawyers(s): Kathryn R. Eldridge, Mickey B. Wright, Paul M. James
Arbitrator(s): Karen Roberts Washington, Debra Black Leo, Joseph Neal Richardson
Hearing Site: Birmingham, AL
Checkmark IconDismissed by Rule 12206
16-0135201/12/2017Claimant(s): Denise Weiss
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Harvey R. Linder
Hearing Site: Birmingham, AL
Checkmark Icon$600
13-0149405/13/2016Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Andrea Morgan Greene
Respondent(s): Brian Anderson, Thomas Pewitt
Respondent Lawyers(s): Richard S. Frankowski
Arbitrator(s): Milton C. West, C. Sumpter Logan, James Edward Seale
Hearing Site: Birmingham, AL
14-0176805/12/2016Claimant(s): Marion Brakefield, Marion Brakefield as the Executrix
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): W. William Harness, James Edward Seale, Rachel Kay Russell
Hearing Site: Birmingham, AL
Checkmark IconExpungement
14-0319809/01/2015Claimant(s): Shirley Thames
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Steven P. Gregory
Hearing Site: Birmingham, AL
Checkmark IconExpungement
14-0124404/02/2015Claimant(s): William Peppenhorst
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): James C. Hoover
Hearing Site: Birmingham, AL
Checkmark Icon$57,545
13-0311105/14/2014Claimant(s): Velma Petty
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): James W. Kerr
Hearing Site: Birmingham, AL
Checkmark Icon$0

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