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FINRA Awards for A.G. Edwards & Sons.

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Displaying 10 out of 78 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0030410/12/2017Claimant(s): Thomas Fields
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A.G. Edwards & Sons., Wells Fargo Advisors, Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson, Deirdre Wolff
Arbitrator(s): Neil Harvey Smith
Hearing Site: Nashville, TN
17-0022410/11/2017Claimant(s): James Everitt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Herbert Liberman
Hearing Site: Boise, ID
16-0324409/07/2017Claimant(s): Craig Ferrantino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A.G. Edwards & Sons., Citigroup Global Markets., Next Financial Group.
Respondent Lawyers(s): Angela A. Turiano, David I. Hantman, John T. Unger
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
16-0169302/23/2017Claimant(s): Kean Boucher
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Samuel L. McClaren, Anita Rae Shapiro, Tausha C. Riley
Hearing Site: Denver, CO
12-0051206/19/2015Claimant(s): Eugene Doskocz, Fiona Doskocz
Claimant Lawyers(s): Anthony Trogan
Respondent(s): A.G. Edwards & Sons., Sigma Financial Corporation
Respondent Lawyers(s): Brent J. Burtin, Jonathan M. Sterling
Arbitrator(s): Barry Goldman, Kendall B. Perry, William Joseph Caprathe
Hearing Site: Detroit, MI
Checkmark Icon$80,000
14-0170105/21/2015Claimant(s): John Anderson
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): Wells Fargo Advisors, Jason Turetzky, A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
Checkmark Icon$300
14-0170201/13/2015Claimant(s): Diane Anderson
Claimant Lawyers(s): Bryan Forman
Respondent(s): Wells Fargo Advisors, Jason Turetzky, A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
Checkmark Icon$0
12-0329908/12/2013Claimant(s): Yvonne Kloehn
Claimant Lawyers(s): G. Martin Meyers
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Michael Levine, A.G. Edwards & Sons.
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Bernard M. Levine, Linda J. Baer, Paul Allan Massaro
Hearing Site: Newark, NJ
Checkmark Icon$0
12-0053605/16/2013Claimant(s): Gary Kern
Claimant Lawyers(s): Gary W. Kern
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Damian J. Betz
Arbitrator(s): Ronald H. Walton, Steele Thomas Williams, Oliver J. Janney
Hearing Site: Tampa, FL
Checkmark Icon$0
09-0396706/27/2011Claimant(s): Donald Burwell, Marjorie Burwell
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Kenneth A. Bravo
Arbitrator(s): Frank C. Fogl, James Dale Ellis, Mark L. Ferris
Hearing Site: Cleveland, OH
Checkmark IconExpungement

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