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FINRA Awards for Kansas City, MO

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Displaying 10 out of 154 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0107508/12/2024Claimant(s): Sally Gaddie
Claimant Lawyers(s): Jared A. Rose
Respondent(s): Christina Silvius, Juliann Smith, Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): Karen Roberts Washington, Del Wright, John Edward Jackson
Hearing Site: Kansas City, MO
Checkmark IconExpungement
23-0261206/14/2024Claimant(s): Jeffrey Lashley
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John Murphy, Katelyn H. Wilson
Arbitrator(s): John W. Jones, David A. Schuler, Jeremy Deeken
Hearing Site: Kansas City, MO
23-0130904/19/2024Claimant(s): Eli Ward
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): David A. Schuler
Hearing Site: Kansas City, MO
23-0165101/10/2024Claimant(s): Jarod Tibbetts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Country Capital Management Company
Respondent Lawyers(s): John O'Brien
Arbitrator(s): Robert J. Gregory
Hearing Site: Kansas City, MO
23-0173512/21/2023Claimant(s): Craig Splan
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Geneos Wealth Management
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Michael S. Matek
Hearing Site: Kansas City, MO
23-0120712/19/2023Claimant(s): Andrew Denney
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Kansas City, MO
23-0050509/29/2023Claimant(s): David Wentz
Claimant Lawyers(s): James P Galvin
Respondent(s): Ameritas Investment Company
Respondent Lawyers(s): Andrea Snowden
Arbitrator(s): David A. Schuler
Hearing Site: Kansas City, MO
22-0261809/28/2023Claimant(s): Cynthia Perry
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Umb Financial Services.
Respondent Lawyers(s): Shannon M. Wheaton
Arbitrator(s): Michael S. Jordan
Hearing Site: Kansas City, MO
22-0080703/27/2023Claimant(s): Edward McCoy, Shirley McCoy
Claimant Lawyers(s): Edward A. McCoy
Respondent(s): Charles Schwab & Co.., TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Michael S. Matek, Mark S. Foster, Susan Baker Teson
Hearing Site: Kansas City, MO
Checkmark Icon$300
22-0094502/09/2023Claimant(s): Thomas Freeman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): David A. Schuler
Hearing Site: Kansas City, MO

154 Results

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