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FINRA Awards for First Allied Securities.

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Displaying 21-30 out of 78 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0192204/18/2022Claimant(s): Dennis Thurman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Donald N. Tolin
Hearing Site: Omaha, NE
18-0134903/11/2022Claimant(s): Ivan Mailhot, Nancy Mailhot, Ivan Mailhot IRA, Nancy Mailhot IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Harold J. Merkow, Edwin J. Buckley, Ronald Dean Mayes
Hearing Site: Phoenix, AZ
Checkmark Icon$2,662,420
21-0002101/06/2022Claimant(s): Dierdre Hallick, Mark Hallick
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Securities America., Investacorp Inc., Stephen Lawler, First Allied Securities.
Respondent Lawyers(s): Justin Sacca, Sean T. Needham
Arbitrator(s): Leonard Arthur Nelson, Jonathan B. Gilbert, Stuart W. Smith
Hearing Site: Chicago, IL
Checkmark IconDismissed by Rule 12206
20-0019306/14/2021Claimant(s): Gerellen Joneson
Claimant Lawyers(s): James N Thomaidis
Respondent(s): Mark Haenny, Matthew Hickey, First Allied Securities.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Steven Meyrich, Steven M. Feder, Mary C. Davis
Hearing Site: Denver, CO
Checkmark IconExpungement
20-0318406/03/2021Claimant(s): William Fox
Claimant Lawyers(s): Robert Moses
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
20-0304005/17/2021Claimant(s): Joseph Sturniolo
Claimant Lawyers(s): Michael Bessette
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Philip J. Glick
Hearing Site: Denver, CO
20-0291205/05/2021Claimant(s): Matthew Hansen
Claimant Lawyers(s): Michael Bessette
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Otis E. Hackett
Hearing Site: San Diego, CA
20-0270404/23/2021Claimant(s): Christopher Risher
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): John F. Burns
Hearing Site: Louisville, KY
20-0309303/22/2021Claimant(s): Virgil Threlkeld
Claimant Lawyers(s): David Monsour
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): David J. Romanski
Hearing Site: San Francisco, CA
20-0290003/11/2021Claimant(s): Christopher Larochelle
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Allied Securities.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX

78 Results

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