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FINRA Awards for Raleigh, NC

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Displaying 31-40 out of 156 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0001211/05/2019Claimant(s): Wallace Freemon
Claimant Lawyers(s): Benjamin D. Ridings
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Robert H. Putnam, Fred Kelner, Joseph A Newcomb
Hearing Site: Raleigh, NC
19-0086010/17/2019Claimant(s): William Sloan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Intercarolina Financial Services.
Respondent Lawyers(s): Joseph E. Navolanic
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Raleigh, NC
19-0034509/18/2019Claimant(s): Stephanie Abee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services, Llc, Transamerica Financial Advisors
Respondent Lawyers(s): David J. Lehr, Susan D. Duff
Arbitrator(s): Kenneth R. Starr
Hearing Site: Raleigh, NC
18-0342306/07/2019Claimant(s): Kenneth Nelson
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Richard James Igou
Hearing Site: Raleigh, NC
18-0422905/08/2019Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jessica Klein
Respondent(s): Brandon Lokits
Respondent Lawyers(s): Brandon Todd Lokits
Arbitrator(s): Langfred W. White
Hearing Site: Raleigh, NC
17-0330702/26/2019Claimant(s): Glenn Capel
Claimant Lawyers(s): Linda D. Friedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Langfred W. White, Karen A. West, David Josephsohn
Hearing Site: Raleigh, NC
18-0297702/25/2019Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Bryce Shelman
Respondent(s): Gary Strange
Respondent Lawyers(s): Gary Michael Strange
Arbitrator(s): Edith N. Dinneen
Hearing Site: Raleigh, NC
18-0195012/27/2018Claimant(s): Manish Mehta
Claimant Lawyers(s): Debra A Jenks
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle Simms
Arbitrator(s): Michael E. Weddington
Hearing Site: Raleigh, NC
17-0242312/26/2018Claimant(s): Steve L. Sexton IRA, Steve and Marcia Sexton, Marcia G. Sexton, REV LIV
Claimant Lawyers(s): Matthew Skidmore
Respondent(s): Morgan Stanley, Michael Cooper
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Thomas B. Corey, Robert P. Porter, Richard James Igou
Hearing Site: Raleigh, NC
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18-0019412/10/2018Claimant(s): Garland Homes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Stuart K. Furman
Hearing Site: Raleigh, NC

156 Results

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