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FINRA Awards for CEO

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
24-0027107/26/2024Claimant(s): Douglas Kleckner
Claimant Lawyers(s): Matthew E. Wolper
Respondent(s): Monmouth Capital Management LLC
Respondent Lawyers(s): Robert Meyer, CEO
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
Checkmark Icon$483,427
23-0142601/29/2024Claimant(s): Justin Widick
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Financial West Group
Respondent Lawyers(s): Gene Valentine, CEO
Arbitrator(s): Charles G. Michaels
Hearing Site: Omaha, NE
15-0051101/15/2016Claimant(s): Gregory Romanczuk
Claimant Lawyers(s): Gregory Romanczuk
Respondent(s): Joseph Baffoe, Richard Lynch, Chicago Investment Group
Respondent Lawyers(s): Joseph Martin Baffoe, Richard Paul Lynch, Richard Lynch, CEO
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
13-0210903/26/2014Claimant(s): James Dickson, Margery Dickson
Claimant Lawyers(s): James Boanerges
Respondent(s): Golden Beneficial Securities Corporation
Respondent Lawyers(s): Sean Leidelmeyer, CEO
Arbitrator(s): Richard F. Dole, Jeff Kilgore, Daniel Stephen Dexter
Hearing Site: Houston, TX
Checkmark Icon$2,497,700

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