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FINRA Awards for Jr

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Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0179111/17/2020Claimant(s): Mohamad Alhalabi
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers, Jr
Arbitrator(s): Philip J. Glick
Hearing Site: St. Louis, MO
Checkmark IconDismissed
17-0272804/29/2020Claimant(s): Audrey Niehoff
Claimant Lawyers(s): Laurence Landsman
Respondent(s): Jeffrey Berenson, Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers, Jr
Arbitrator(s): Jerome F. Crotty, Raymond P. Buschmann, Marcia Bonita Gevers
Hearing Site: Chicago, IL
Checkmark IconDismissed by Rule 12206/12504
13-0362411/16/2015Claimant(s): Freddy Holcomb
Claimant Lawyers(s): R. Leslie Waycaster, Jr
Respondent(s): LPL Financial LLC, Michael Fortner
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): John D. Mattingly
Hearing Site: Atlanta, GA
Checkmark Icon$37,329
14-0041803/16/2015Claimant(s): Dorothy Aukofer
Claimant Lawyers(s): John P. Connolly
Respondent(s): Frederick Baerenz, AOG Wealth Management, Cetera Advisors LLC, Pacific West Securities.
Respondent Lawyers(s): Joseph D. Edmondson, Jr, Kate E. DiGeronimo, Shanon Ford
Arbitrator(s): Kevin D. Judd, Christopher M. McMurray, Stephen D. Altman
Hearing Site: Washington, DC
Checkmark Icon$0
11-0376205/28/2013Claimant(s): Robert Scott, Family Trust FBO Gregory Scott, Florida Qualified Personal Resident Trus, Gregory Scott Tee of Robert W. Scott, Jr, R. Scott, Jr. Grandchildren Spray Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Linda M. Granata, Richard J. Kaplan, Carlos E. Ayala
Hearing Site: Ft. Lauderdale, FL
Checkmark IconExpungement
07-0191208/11/2008Claimant(s): The Estate of Leonard D. Miles,, Marian J. Miles IRA, Leonard D. Miles and Marian J. Miles, Marian J. Miles Family Trust
Claimant Lawyers(s): William B. Young
Respondent(s): MidSouth Capital.
Respondent Lawyers(s): Thomas R. Todd, Jr
Arbitrator(s): Brian G. Mooney, Robert L. Hudson, Glenn W. Wheelock
Hearing Site: Orlando, FL
Checkmark Icon$225

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