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FINRA Awards for Kansas City, MO

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Displaying 131-140 out of 154 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0265811/20/2009Claimant(s): Ralph Ritter, Viola Ritter
Claimant Lawyers(s): Ralph H. Ritter
Respondent(s): Anita Oplotnik, Neil NcCall
Respondent Lawyers(s): Harper Fertig
Arbitrator(s): Donald B. Clark
Hearing Site: Kansas City, MO
Checkmark Icon$213
08-0500611/16/2009Claimant(s): Ishmaila Loum
Claimant Lawyers(s): Ishmaila Loum
Respondent(s): Zecco Trading.
Respondent Lawyers(s): Esther K. Yeu
Arbitrator(s): Thomas B. Phillips, Michael D. Fitzgerald, Donald H. Loudon
Hearing Site: Kansas City, MO
Checkmark Icon$0
09-0023411/16/2009Claimant(s): Ishmaila Loum
Claimant Lawyers(s): Ishmaila Loum
Respondent(s): Zecco Trading.
Respondent Lawyers(s): Michael Lynn Feser, Pres
Arbitrator(s):
Hearing Site: Kansas City, MO
Checkmark Icon$0
08-0069310/20/2009Claimant(s): Tara Gutierrez-Maddi
Claimant Lawyers(s): Kirk D. Holman
Respondent(s): Brian Wall, A.G. Edwards & Sons.
Respondent Lawyers(s): Christi Hilker Vaglio, Jeffrey Hanslick
Arbitrator(s): Leah A. Murray, Michael D. Fitzgerald, Gerald Francis Lamberti
Hearing Site: Kansas City, MO
08-0074310/12/2009Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Mark Hopkins
Respondent Lawyers(s): Mark D. Hopkins
Arbitrator(s): Lonnie L. Cunningham, Thomas P. Hoover, Christopher Daniel Gryzen
Hearing Site: Kansas City, MO
09-0012108/21/2009Claimant(s): Lois Hughes
Claimant Lawyers(s): Lois J. Hughes
Respondent(s): Brian Wall, Darrin De Bok
Respondent Lawyers(s): Deirdre C. Wolf
Arbitrator(s): Mark R. Lee
Hearing Site: Kansas City, MO
Checkmark Icon$0
08-0047208/06/2009Claimant(s): Donald Halfmann, Patricia Halfmann
Claimant Lawyers(s): John J. Miller
Respondent(s): VFinance Investments.
Respondent Lawyers(s): Adam H. Smith
Arbitrator(s): Michael D. Fitzgerald, Michael A. Kleinman, Robert John McElwain
Hearing Site: Kansas City, MO
Checkmark Icon$759,800
09-0094207/29/2009Claimant(s): Patricia Kubitzki
Claimant Lawyers(s): Patricia A. Kubitzki
Respondent(s): New England Securities, Timothy Mcdermott
Respondent Lawyers(s): B. John Pendleton, Christina Schmid
Arbitrator(s): James A. Hayes
Hearing Site: Kansas City, MO
Checkmark Icon$7,836
08-0450507/22/2009Claimant(s): George O. Miles and Sharon K. Miles
Claimant Lawyers(s): George O. Miles
Respondent(s): Wachovia Securities, Gerald Rabin, Gregory Ek
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Murray S. Levin, W. Richard Keene, Michael J. Hunter
Hearing Site: Kansas City, MO
Checkmark Icon$0
07-0024506/26/2009Claimant(s): Charna Knepper, Laurence Knepper, Nancy Knepper
Claimant Lawyers(s): Robert R. Barton
Respondent(s): Andrew Garrett.
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): Lonnie L. Cunningham, Murray S. Levin, Michael D. Fitzgerald
Hearing Site: Kansas City, MO
Checkmark Icon$0

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