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FINRA Awards for S.A.

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Displaying 7 out of 7 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0293411/01/2023Claimant(s): Ada Serena Cordova Armijos, Alvaro Campuzano Arteta, America Troya de Kennedy, Ana Constante, Ana Espin, Ana Garrido, Ana Meneses, Ana Narvaez Chacon, Ana Pallares, Ana Catalina Aylwin Eguiguren, Angel Basantes C., Angel Cevallas, Antonio Arregui Yarza, Carla Sandoval Vinelli, Carlos Helou Cevallos, Carlos Pinto, Carlos Recalde, Cecilia Marcial, Diego Calisto Albornoz, Diego Calisto Arteta, Diego Vasquez Davalos, Dominique Kennedy, Douglas Good, Edgar Ortega Carrion, Edison Garcia Gualpa, Eduardo Benitez, Eduardo Ledesma Mariscal, Edward Kennedy, Edwin Torres Mino, Elena Espinoza, Elsa Calvache Ulloa, Elsa Lalama Crespo, Elva Cervantes, Erika Calderon Medina, Erika Coba Vinelli, Estate of Washington Almeida Flores, Eugenio Arellano Fernandez, Eulalia Calderon Chiriboga, Fabian Montalvo Canelos, Fabian Yar, Fabiola Cadena Huertas, Fernando Bueno Martinez, Fernando Lucero, Francisco Correa Holguin, Francisco Lopez, Francisco Paez Puga, Gabriella Bobadilla, Germanico Davila Proano, Gilmer Viteri, Giorgio Peroni Marchina, Gladys Calvache Ulloa, Gladys Ochoa Egas, Gonzalo Carrera Segovia, Guadalupe Bernardina Ayala, Guillermo Rodriguez Miranda, Hector Darquea Moncayo, Hernan Calderon Segovia, Hernan Jaramillo Arias, Herrman Cevallos Silva, Hue Tran Tang, Hugo Araque, Hugo Bonilla Moyano, Ines Vela Barragan, Ines Villamar Espin, Irma Rubio Garcia, Jaime Toledo Romoleroux, James Esparza Cisneros, James Tran, Jose Cordova, Jose Ludena Granja, Jose Naranjo, Jose Pallares, Juan Vinelli Aguirre, Karen Sandoval, Karen Tran, Laura Luna Gaibor, Linda Andrade Zambrano, Lucia Tejada, Luis Castillo Vallejo, Luis Cordova Cevallos, Manuel del Solar, Marcia Calvache Ulloa, Marcia Sandoval Cerda, Maria Almeida Garcia, Maria Andrade Jarrin, Maria Arcos Darquea, Maria Armijos Torres, Maria Bueno Pallares, Maria Darquea, Maria Espin Tello, Maria Kennedy, Maria Lalama, Maria Moreno, Maria Pallares, Maria Perez, Maria Solar, Maria Vasquez, Martha Lopez Yanez, Miguel Fierro, Monica Almeida Garcia, Monica Duran Vaca, Monica Luna Gaibor, Monica Teran Burbano, Natalie Tapia Bermudez, Nora Calderon Chiriboga, Pablo Valencia Llerena, Paola Coba Vinelli, Paola Cortes Safadi, Patricio Campuzano, Paul Ortega Salazar, Paula Armijos, Paulina Villamar Espin, Ramiro Trujillo Grijalva, Rocio Ramon Banderas, Rodrigo Gandara, Rosa Arteta, Ruben Carrera Loza, Segundo Castillo, Silvino Mina, Soledad Vinelli, Sonia Vinelli Aguirre, Sylvia Albornoz Vorbeck, Tanya Valenzuela Endara, Tarquino Ludena Leon, Ute Wiecher Knaak, Vicariato Esmeraldas, Walter Medina Calderon, Xavier Meneses Espinosa, Xavier Pinto Vela, Cargi Business Corp., Conferencia Episcopal Ecuatoriana, Consejo Diocesanos Tulcan, Construction Management Solution., Founderz Group Limited, Kingvi Group, S.A., Magson Portfolio Corp., Megarmi
Claimant Lawyers(s): Francisco A. Rodriguez
Respondent(s): Raymond James & Associates., Raymond James Financial Services.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Steven Gerard Goerke, Isadora Velazquez-Rivas, Eric Mealus
Hearing Site: Miami, FL
Checkmark Icon$0
14-0223003/29/2018Claimant(s): SLS Capital, S.A.
Claimant Lawyers(s): Michael Cohen
Respondent(s): CRT Capital Group LLC
Respondent Lawyers(s): Nancy E. Delaney
Arbitrator(s): Keely D. Parr, Denise N. Seegobin, Paul Bennett Marrow
Hearing Site: New York, NY
Checkmark Icon$0
13-0187212/12/2014Claimant(s): Hereford Securities Management, S.A.
Claimant Lawyers(s): David H. Kalisek
Respondent(s): Juan Alejos, Charles Morgan Securities.
Respondent Lawyers(s): Benjamin Suess, Paul E. Taboada
Arbitrator(s): Murray S. Levin, Frank D. Connett, Richard L. Mitchell
Hearing Site: Omaha, NE
Checkmark Icon$0
09-0722707/16/2012Claimant(s): Carlos Oubina, Fernando Granda, Graciela de Martinez, Hector Lestard, Jorge Besser, Jose Ganem, Juan Navarro Floria, Miguel Martinez, Norma Arauz de Pereiro, Patricia de Castro, Gladbrook Investments Ltd., Sandhill Overseas Ltd., Westbrook Business Corp., S.A.
Claimant Lawyers(s): Jeffrey L. Cox
Respondent(s): EFG Capital International Corp.
Respondent Lawyers(s): Ivan P. Harris
Arbitrator(s): Monroe Mitchel, Suzanne E. Mowry, Marie G. Peterson
Hearing Site: Boca Raton, FL
Checkmark IconStipulated Award and Expungement
08-0291303/08/2011Claimant(s): Grupo Internacional De Asesores, S.A.
Claimant Lawyers(s): Michael Zweiback
Respondent(s): Eduardo Bustani, Jane Bates, Ricardo Perusquia, Global Financial Services, L.L.P.
Respondent Lawyers(s): Alex J. Brown, Andrew R. Harvin
Arbitrator(s): John Michael Watson, Danielle L. Hargrove
Hearing Site: Houston, TX
Checkmark IconStipulated Award
09-0043105/26/2010Claimant(s): Cornelio Popesco, Maria De Popesco, Liberty Trading, S.A.
Claimant Lawyers(s): Paulino A. Nunez
Respondent(s): Jose Fincheltub
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Steven R. Reininger, Ilisa J. Smukler, Dana de Windt
Hearing Site: Boca Raton, FL
Checkmark IconStipulated Award and Expungement
06-0528312/26/2007Claimant(s): Lafise Valores Santo Domingo, S.A.
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Stanford Group Company
Respondent Lawyers(s): Ronald Shindler
Arbitrator(s): Allen J. Kaplan, Patricia J. Murphy, Dale W. Oliver
Hearing Site: Boca Raton, FL
Checkmark Icon$297,000

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