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FINRA Awards for Milton N. Gross

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Displaying 10 out of 39 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0082412/19/2022Claimant(s): William Krebs
Claimant Lawyers(s): Sarah Ali Burroughs
Respondent(s): Pension Planners Securities., Voya Financial Advisors.
Respondent Lawyers(s): Christina Vourakisorate Office
Arbitrator(s): Michael W. Burnett, Milton N. Gross, Cherie S. Lewis
Hearing Site: Los Angeles, CA
22-0079810/17/2022Claimant(s): Kurt Jackson
Claimant Lawyers(s): Richard A. D'Amura
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Michael Pedlow
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
20-0411008/31/2022Claimant(s): Anne Behm, Joseph Behm, Anne Behm on behalf of her IRA, Anne Behm on behalf of her TOD account, Joseph Behm on behalf of his IRA, Joseph Behm on behalf of his TOD account
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Cambridge Investment Research., Neal Thompson, Harbour Investments.
Respondent Lawyers(s): David A. Genelly, Lindsay Wuller Aggarwal, Mark L. Kowalsky
Arbitrator(s): Milton N. Gross, Ruth M. Moore, John F Mencer
Hearing Site: Denver, CO
Checkmark IconExpungement
21-0272305/04/2022Claimant(s): Marc Kreisberger
Claimant Lawyers(s): Brian Luther
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Milton N. Gross
Hearing Site: Las Vegas, NV
21-0038212/17/2021Claimant(s): Scot Fairchild
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lucia Securities
Respondent Lawyers(s): Tiy O'Neal
Arbitrator(s): Milton N. Gross
Hearing Site: Las Vegas, NV
20-0210405/14/2021Claimant(s): James Shoffner
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John B. Clark
Arbitrator(s): Milton N. Gross
Hearing Site: Denver, CO
20-0273903/29/2021Claimant(s): Damian Dering
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
17-0010212/15/2020Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ameriprise Financial Services, Li-lin Hsu
Respondent Lawyers(s): Chad Weaver, Li-lin Hsu
Arbitrator(s): Lois J. Cox, Milton N. Gross, Kendall C. Reed
Hearing Site: Los Angeles, CA
Checkmark Icon$0
17-0209011/23/2020Claimant(s): Colleen Simmons, Kenneth Thompson, Kenneth P. Thompson ROTH IRA, Simmons Living Trust U/A 08/30/02, Thompson Living Trust U/A 05/31/02
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Hightower Securities, Hightower Advisors
Respondent Lawyers(s): Matthew B. Henneman
Arbitrator(s): Richard M. Norman, Robert E. Jenks, Milton N. Gross
Hearing Site: Los Angeles, CA
Checkmark IconSettlement
19-0312408/10/2020Claimant(s): Irma L. Castrova
Claimant Lawyers(s): Robert B. Volynsky
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Robert Rosen, Milton N. Gross, Walter Thompson
Hearing Site: Los Angeles, CA
Checkmark Icon$0

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