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FINRA Awards for E. William Pastor

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Displaying 10 out of 14 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0470301/28/2014Claimant(s): Jane Katzen
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Frank Faverzani, Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): E. William Pastor, Glenn J. Hansen, Paul Ribner
Hearing Site: Philadelphia, PA
Checkmark Icon$375
10-0396904/10/2013Claimant(s): Skip Massengill
Claimant Lawyers(s): George Bochetto
Respondent(s): Commerce Capital Markets., TD Wealth Management Services Inc.
Respondent Lawyers(s): Risa B. Boerner
Arbitrator(s): Carol H. Gold, E. William Pastor, Timothy J. Tarpey
Hearing Site: Philadelphia, PA
08-0485612/28/2012Claimant(s): J.N. Raines, Julie Raines, Fischer Lime & Cement Company.
Claimant Lawyers(s): Caroline Smith Gidiere
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Alexandra M. Linden, David M. Levine, E. William Pastor
Hearing Site: Memphis, TN
Checkmark Icon$61,726
10-0160102/03/2012Claimant(s): Helen Dunlap Trust, Willis F. Dunlap Trust
Claimant Lawyers(s): James R Anderson, James R. Anderson
Respondent(s): Jay Harriman, Raymond James Financial Services.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): E. William Pastor, Catherine Stewart, Karen R. Perri
Hearing Site: Philadelphia, PA
Checkmark Icon$15,300
10-0415910/12/2011Claimant(s): Stanley Schwarz
Claimant Lawyers(s): Thomas A. Sprague
Respondent(s): Wells Fargo Advisors, Drew Barlow
Respondent Lawyers(s): Yoonsun Chung
Arbitrator(s): Mary Ann M. Melchiorre, Doris J. Dabrowski, E. William Pastor
Hearing Site: Philadelphia, PA
Checkmark Icon$3,537
09-0549807/29/2011Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward B. Magarian
Respondent(s): Todd Feldman
Respondent Lawyers(s): Willard Knox
Arbitrator(s): Edward M. Statland, E. William Pastor, Robert Vaughan Cornish
Hearing Site: Washington, DC
08-0363506/07/2011Claimant(s): Loren Hulber
Claimant Lawyers(s): Joel D. Feldman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): E. William Pastor, Peter D. Shelp, Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
Checkmark Icon$0
09-0695105/20/2011Claimant(s): David F Fleming IRA, David and Carmeletta Fleming, David F Fleming & Carmeletta Fleming Tr
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Gary Aday, Morgan Keegan & Company.
Respondent Lawyers(s): Larry Polk
Arbitrator(s): Jim Geiger, E. William Pastor, Randolph Guggenheimer
Hearing Site: Little Rock, AR
Checkmark Icon$170,000
09-0717003/10/2011Claimant(s): David McIntosh, Terri McIntosh
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Jerry Schuchman, E. William Pastor, Glenn J. Hansen
Hearing Site: Philadelphia, PA
Checkmark Icon$0
09-0551207/13/2010Claimant(s): Edgar Baker, Louise Baker
Claimant Lawyers(s): John B. Dempsey
Respondent(s): LPL Financial LLC, Mark Renzini, Virginia Traver, Comm Financial Services, Community Bank & Trust
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Elizabeth A. McKinney, E. William Pastor, Paul J. Greco
Hearing Site: Philadelphia, PA

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