FINRA Awards for Frank C. Fogl

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Displaying 11-20 out of 29 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-04766	08/29/2013	Claimant(s): Chester Scott, Michael Buckingham, Peter Accetta, Ronald Pyka, Suzanne Rusconi Accetta Revocable Trust Claimant Lawyers(s): Marion H. Little Respondent(s): Multi-Financial Securities Corporation Respondent Lawyers(s): Chetan S. Patil Arbitrator(s): Frank C. Fogl, Erwin John Dugasz, Larry Moore Hearing Site: Columbus, OH		$111,000
12-04231	08/20/2013	Claimant(s): Securities America. Claimant Lawyers(s): Christina Heller Respondent(s): Dennis Pascarella Respondent Lawyers(s): Dennis Eugene Pascarella Arbitrator(s): Frank C. Fogl Hearing Site: Cincinnati, OH
11-04100	10/23/2012	Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Steven P. Pherson Respondent(s): William Perfett Respondent Lawyers(s): Stanley Yorsz Arbitrator(s): Frank C. Fogl Hearing Site: Pittsburgh, PA
10-04800	02/09/2012	Claimant(s): Shawn Dailey Claimant Lawyers(s): David K. Silverberg Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Michelle E. Phillips Arbitrator(s): Richard A. Scalfani, Frank C. Fogl, Allan H. Kaminsky Hearing Site: Buffalo, NY
11-03177	12/14/2011	Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Steven P. Pherson Respondent(s): Christopher Guenther Respondent Lawyers(s): Christopher R. Guenther Arbitrator(s): Frank C. Fogl Hearing Site: Cleveland, OH
10-05204	12/02/2011	Claimant(s): Daniel Mody, Eric Krouse, Pinnacle Investments Claimant Lawyers(s): David L. Ward Respondent(s): Alan Barham, George Haskins, Louis Panigrosso, Rudolph Panigrosso Respondent Lawyers(s): Charles O. Ingraham Arbitrator(s): Frank C. Fogl, Madhu C. Trivedi, Robert J. Allen Hearing Site: Syracuse, NY
10-03651	10/21/2011	Claimant(s): David Middlemiss Claimant Lawyers(s): Leigh A. Lieberman Respondent(s): Garry Payne, LFA, LimitedLiability Company, Lincoln Financial Advisors Corporation, Lincoln Life&Annuity Company of New York Respondent Lawyers(s): Brian J. Butler Arbitrator(s): Frank C. Fogl, Stuart A. Ober, Peter A.P. Dunlop Hearing Site: Syracuse, NY
11-01819	10/19/2011	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Jessica G. Klein Respondent(s): Jeffrey Tock Respondent Lawyers(s): Jeffrey Scott Tock Arbitrator(s): Frank C. Fogl Hearing Site: Cleveland, OH
10-02569	07/26/2011	Claimant(s): William Jones Claimant Lawyers(s): Stephen P. Meyer Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Denis C. Dice Arbitrator(s): Frank C. Fogl Hearing Site: Charleston, WV		Expungement
09-03967	06/27/2011	Claimant(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		Expungement