FINRA Awards for Samuel P. Mauch

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Displaying 11-20 out of 53 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
19-00173	01/02/2020	Claimant(s): Kathy Colby Claimant Lawyers(s): Joseph H. Spiegel Respondent(s): Dominion Investor Services. Respondent Lawyers(s): Samuel P. Mauch Arbitrator(s): Jeffry M. Bauer Hearing Site: Detroit, MI
18-02508	11/26/2019	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Samuel P. Mauch Respondent(s): William Despard Respondent Lawyers(s): William Roy Despard Arbitrator(s): Charles G. Michaels Hearing Site: Denver, CO
19-00726	08/08/2019	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Timothy Skinner Respondent Lawyers(s): Timothy Francis Skinner Arbitrator(s): Sam Antar Hearing Site: Newark, NJ
18-02265	02/08/2019	Claimant(s): Michael Anderson Claimant Lawyers(s): Joseph H. Spiegel Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Samuel P. Mauch Arbitrator(s): Jeffry M. Bauer Hearing Site: Detroit, MI
18-01265	08/15/2018	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Jeffrey Johnson Respondent Lawyers(s): Jeffrey Michael Johnson Arbitrator(s): Barry Goldman Hearing Site: Detroit, MI
18-00588	06/20/2018	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Samuel P. Mauch Respondent(s): James Kelly Respondent Lawyers(s): James Joseph Kelly Arbitrator(s): John J. Jordan Hearing Site: Philadelphia, PA
17-00427	05/22/2018	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Mark Vanaelst Respondent Lawyers(s): Mark David Vanaelst Arbitrator(s): Patrick R. Sughroue Hearing Site: Detroit, MI
17-00433	05/26/2017	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Joseph Casella Respondent Lawyers(s): Joseph Casella Arbitrator(s): Joseph J. Arata Hearing Site: New York, NY
16-00691	02/17/2017	Claimant(s): Daniel Murphy Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Michael W. Knapp 1997 Irrevocable Tust Respondent Lawyers(s): Joann Knapp Arbitrator(s): Gerald W. Hepp Hearing Site: Detroit, MI		Expungement
15-03439	05/02/2016	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Jeff Thompson Respondent Lawyers(s): Jeff D Thompson Arbitrator(s): Sandor I. Rabkin Hearing Site: Boston, MA