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FINRA Awards for Stephen P. Hoffman

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Displaying 21-26 out of 26 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0139907/12/2012Claimant(s): Morgan Stanley
Claimant Lawyers(s): Andrew Park
Respondent(s): Gary Collins
Respondent Lawyers(s): Gary Collins
Arbitrator(s): Stephen P. Hoffman, Joe Carroll Thomas, Wesley M. Walker
Hearing Site: Charlotte, NC
11-0348703/13/2012Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Brian R. Mills
Respondent(s): Joseph Jackson
Respondent Lawyers(s): Steven C. Lawrence
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Raleigh, NC
10-0304007/21/2011Claimant(s): Ronald Brown
Claimant Lawyers(s): Christopher M. Whelchel
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): John G. McDonald
Arbitrator(s): Stephen P. Hoffman, Michael C. Wittenberg, CPF, CLU, ChFC, Margaret Elizabeth Gee
Hearing Site: Charlotte, NC
10-0110908/16/2010Claimant(s): Morgan Stanley
Claimant Lawyers(s): Mauricio S. Beugelmans
Respondent(s): James Sumpter
Respondent Lawyers(s): James H. Sumpter
Arbitrator(s): Stephen P. Hoffman
Hearing Site: New Orleans, LA
09-0196405/05/2010Claimant(s): David Meyers
Claimant Lawyers(s): J. Pat Sadler
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): A. Kelly Brennan
Arbitrator(s): Howard S. Levine, Stephen P. Hoffman, Charles E. White
Hearing Site: Atlanta, GA
Checkmark Icon$1,298,280
07-0317304/23/2008Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Bradley Winer
Respondent Lawyers(s): Bradley Winer
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
Checkmark Icon$0

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