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FINRA Awards for First Allied Securities.

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Displaying 51-60 out of 78 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0341402/25/2016Claimant(s): Stephen Slocum
Claimant Lawyers(s): Stephen J. Slocum
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Herb Schwartz, Dean J. Dietrich, Gary S. DeWeese
Hearing Site: San Francisco, CA
Checkmark Icon$0
14-0048610/30/2014Claimant(s): Jeffrey W. Miller, IRA
Claimant Lawyers(s): Jeffrey W. Miller
Respondent(s): Camille Tavares, Pershing LLC, Robert Michael, Thomas Phillips, First Allied Securities.
Respondent Lawyers(s): Anne K. Yannakakis, Jane Myers
Arbitrator(s): Benjamin B. Segel
Hearing Site: Cincinnati, OH
Checkmark Icon$0
13-0110207/16/2014Claimant(s): First Allied Securities.
Claimant Lawyers(s): Anne Yannakakis
Respondent(s): Craig Wiggins
Respondent Lawyers(s): David Bertsch
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cleveland, OH
12-0329404/11/2014Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): John Kadletz, First Allied Securities.
Respondent Lawyers(s): Gregory C. Ward, Willard R. Knox
Arbitrator(s): Herbert S. Bratt, Susan H. Schleisner, Kimberly Ann Powers
Hearing Site: Milwaukee, WI
11-0261504/10/2014Claimant(s): Richard Fusari
Claimant Lawyers(s): Richard Fusari
Respondent(s): Advanced Equities., First Allied Securities.
Respondent Lawyers(s): Peter B. King, Robert Cross
Arbitrator(s): William H. Fleece, Deborah J. Powell, Maurice M. Feller
Hearing Site: Tampa, FL
12-0028404/02/2014Claimant(s): Robert Bennett, William Bennett, The Bennett Family Trust - 1989
Claimant Lawyers(s): A. Emory Wishon, Fatima Gioletti, Roger M. Schrimp
Respondent(s): Gary Reed, Jeffery Brookshire, Margaret Bennett, Mark Shoemaker, First Allied Securities., Reed, Shoemaker and Brookshire.
Respondent Lawyers(s): Dirk B. Paloutzian, Jeffrey Compton
Arbitrator(s): Peter H. Daly, Nancy A. Yonge, Zachary Scott Rigdon
Hearing Site: San Francisco, CA
Checkmark IconExpungement
12-0337402/10/2014Claimant(s):
Claimant Lawyers(s):
Respondent(s): Michael DiPietro, First Allied Securities.
Respondent Lawyers(s): Jessica Levine, Marie Mirch
Arbitrator(s): Brian W. Yee, Paul A. Cash, Steven M. Guttell
Hearing Site: Phoenix, AZ
Checkmark Icon$0
12-0361001/14/2014Claimant(s): Joseph Czarnecki, Nancy Czarnecki
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): Securities America., Michael Sztrom, Raymond Lucia, First Allied Securities., RJL Wealth Management, Raymond J. Lucia Companies.
Respondent Lawyers(s): Denis C. Dice, Michael Sztrom, Neal S. Robb
Arbitrator(s): Sheldon Seligsohn, Ethan L. Lewis, Laura A. Kaster
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
12-0057810/09/2013Claimant(s): PHK Trust
Claimant Lawyers(s): Kamyar R. Shayan
Respondent(s): David Crist, First Allied Securities., Sii Investments.
Respondent Lawyers(s): Jacquelyn Mohr, Jeffrey K. Compton
Arbitrator(s): Carolyn V. Quadt, Christopher J. Rogers, Robert C. Albini
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
11-0478505/29/2013Claimant(s): Julie Haupt, Robert Haupt, Julie Haupt IRA, Julie Haupt Roth IRA, Robert Haupt IRA, Robert Haupt Roth IRA, Robert K. Haupt Family Revocable Trust
Claimant Lawyers(s): Ronald E. Miller, Thomas C. Bradley
Respondent(s): Dudley Probert, First Allied Securities.
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Donald N. Tolin, Suanne M. Parro, David L. Erickson
Hearing Site: Salt Lake City, UT
Checkmark IconExpungement

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