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FINRA Awards for Portland, OR

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Displaying 41-50 out of 183 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0375712/11/2020Claimant(s): Allen Chick
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Cape Securities Inc.
Respondent Lawyers(s): Judy A. Newcomb
Arbitrator(s): Isidoro Berkman, Reuel Kenneth Fish, Sally Ann LaJoie
Hearing Site: Portland, OR
Checkmark IconSettlement
20-0081111/09/2020Claimant(s): Frank Bain, Mark Bain
Claimant Lawyers(s): Matt Wolper
Respondent(s): Veravest Investments., Voya Financial Advisors.
Respondent Lawyers(s): Christina Vourakis, Mark H. Stepakoff
Arbitrator(s): David William Hickman
Hearing Site: Portland, OR
20-0136411/04/2020Claimant(s): Thomas Hamlin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Timothy W. Snider
Arbitrator(s): David William Hickman
Hearing Site: Portland, OR
19-0350606/30/2020Claimant(s): Martha Caldwell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): James John Jurinski
Hearing Site: Portland, OR
19-0192204/17/2020Claimant(s): Benjamin Lanphar
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): David William Hickman
Hearing Site: Portland, OR
19-0221703/13/2020Claimant(s): Michael Myers
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Private Consulting Group.
Respondent Lawyers(s): Robert L. Keys
Arbitrator(s): James John Jurinski
Hearing Site: Portland, OR
18-0234810/11/2019Claimant(s): Kestra Financial., Kestra Investment Services
Claimant Lawyers(s): Richard A. D'Amura
Respondent(s): Stephen Seglund
Respondent Lawyers(s): Stephen Paul Seglund
Arbitrator(s): Bert P. Krages
Hearing Site: Portland, OR
19-0004809/16/2019Claimant(s): Thomas Davis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): American Independent Securities Group, L
Respondent Lawyers(s): W. Gregory Lockwood
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Portland, OR
18-0443309/03/2019Claimant(s): Richard Hall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): CUSO Financial Services, L.P.
Respondent Lawyers(s): Maria J. Seedner
Arbitrator(s): William W. Haskell
Hearing Site: Portland, OR
18-0345208/13/2019Claimant(s): Rao Palanki
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Dustin Martin, Madison Avenue Securities.
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Isidoro Berkman, Mark Lee Haggard, Lorena Reynolds
Hearing Site: Portland, OR
Checkmark IconExpungement

183 Results

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