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FINRA Awards for Theresa Joan Rosenberg

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Displaying 11-14 out of 14 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0523812/06/2011Claimant(s): William P. Hunter and Susan S. Hunter
Claimant Lawyers(s): Marlon J. Howard
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Timothy S. Baird
Arbitrator(s): Janice L. Burnham, John D. Robb, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
Checkmark Icon$0
09-0714905/23/2011Claimant(s): Caroline Dufrin
Claimant Lawyers(s): Christopher Mader
Respondent(s): Charles Snider, Allstate Financial Services
Respondent Lawyers(s): Samantha Tesser Haimo, Stuart H. Russell
Arbitrator(s): Lynne T. Albert, Michael F. Pearl, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
Checkmark Icon$0
09-0445911/09/2010Claimant(s): Lisa Craig, Mathew Craig
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): Lynne T. Albert, David P. McDuffee, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
Checkmark Icon$0
07-0308710/23/2008Claimant(s): Ruimin Chen and Li Pan
Claimant Lawyers(s): Li Pan
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): John J. Nielands
Arbitrator(s): C. Marcus Harris, Daniel W. Desmond, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
Checkmark Icon$0

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