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FINRA Awards for Mark E. Maddox

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Displaying 11-20 out of 48 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0143102/07/2017Claimant(s): Roger Turner, Roger T. Turner IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Jonathan Anderson, Morgan Stanley
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Lita S Menkin, David Walton Earle, J. Wesley Romine
Hearing Site: Birmingham, AL
Checkmark IconExpungement
15-0211011/23/2016Claimant(s): Erin Tessman, Harold Tessman
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Kris Maksimovich
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Lawrence R. Maxwell, Sheldon Weinhaus, Brian James Tagtmeier
Hearing Site: Little Rock, AR
Checkmark IconExpungement
15-0335811/16/2016Claimant(s): James Deitsch
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): William Gammon, Questar Capital Corporation
Respondent Lawyers(s): Jeffrey D. Hedlund, Sean M. Golden
Arbitrator(s): Douglas Earl McLaren, Harvey Baum, Jane Tam
Hearing Site: Baltimore, MD
Checkmark IconDismissed by Rule 12206
14-0375410/25/2016Claimant(s): David Raabe
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Marc Schultz
Respondent Lawyers(s): Paul D. Vink
Arbitrator(s): Donald W. Cohen, G. Marshall Abbey, Preston L. Pugh
Hearing Site: Indianapolis, IN
15-0325410/20/2016Claimant(s): Mehmet Akin and Adrian Akin
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): William M. Getzoff, Lawrence W. Arness, William Gibson Heller
Hearing Site: Indianapolis, IN
Checkmark Icon$0
15-0202310/19/2016Claimant(s): Mohamed Ahmed, Mohamed Ahmed IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): Barbara M. Zak, Morris S. Getzels, Robert B. Hansohn
Hearing Site: Las Vegas, NV
Checkmark IconExpungement
15-0307207/27/2016Claimant(s): John Heraty IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): David Geake, Sagepoint Financial.
Respondent Lawyers(s): David A. Baugh, Jodi S. Tesser
Arbitrator(s): G. Gale Roberson
Hearing Site: Chicago, IL
Checkmark IconDismissed by Rule 12206
15-0183403/25/2016Claimant(s): Brenda Woodmansee, Brenda K. Woodmansee IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Robert Smith, American General Securities Incorporated, Berthel, Fisher & Co Financial Svs., ProEquities.
Respondent Lawyers(s): Greg Curley, Heather R. Demyan, Stephen C. Jackson
Arbitrator(s): Daniel T. Hull, Rachel Kay Russell, Roslyn Barbee
Hearing Site: Birmingham, AL
Checkmark IconDismissed by Rule 12206
15-0201803/22/2016Claimant(s): Christopher Carlson
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Ronald W. Sannicandro
Arbitrator(s):
Hearing Site: Minneapolis, MN
Checkmark Icon$0
12-0328803/02/2015Claimant(s): Mohamed Ahmed, Mohamed Ahmed IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Tricor Financial
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Kelly K. Herren, Michael G. Clark, Paul E. Dahlman
Hearing Site: Las Vegas, NV
Checkmark Icon$184,391

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