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FINRA Awards for Bruce D. Oakes

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Displaying 21-30 out of 33 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0553502/22/2011Claimant(s): Maria Thornton
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): John P. Cullem, Constance d'Angelis, Howard L. Hill
Hearing Site: Tampa, FL
Checkmark Icon$25,200
09-0223911/16/2010Claimant(s): Aldrich Fernandez
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Judith A. Gust, Robert John Wagener, E. Milton Frosburg
Hearing Site: San Diego, CA
Checkmark Icon$0
09-0504410/08/2010Claimant(s): Alan Biren, John Tucker
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): John K. Wells
Arbitrator(s): Kelly M. Lonergan, Patrick W. McKeon, John J. Kenny
Hearing Site: Boston, MA
Checkmark Icon$1,085,600
09-0099304/22/2010Claimant(s): The Alan B. White Trust
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): ITradeDirect.com Corporation
Respondent Lawyers(s): Eric Arlt
Arbitrator(s): James B. Vessey, George J. Karlsven, Russell K. Cannon
Hearing Site: Salt Lake City, UT
Checkmark Icon$529,470
08-0441803/09/2010Claimant(s): Charles Osterman
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Cal G. Gonzales
Arbitrator(s): Lehman W. Williams, Merton E. Marks, Loren Scott Buell
Hearing Site: Phoenix, AZ
Checkmark Icon$309,320
06-0176211/24/2009Claimant(s): Dan Wittman
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Michael L. Lyons, Robert J. Beck, Robert W. Dempsey
Hearing Site: St. Louis, MO
Checkmark Icon$75,300
07-0206208/05/2009Claimant(s): Glen Stone, Sandra Stone
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Robert R. Nursey, Robert L. Chisolm, Robert J. Gregory
Hearing Site: Dallas, TX
Checkmark Icon$0
05-0587206/04/2009Claimant(s): Lloyd and Edith Kippley
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): First Republic Group
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Emanuel V. Gumina, James R. Schoenike, William B. Ross
Hearing Site: Milwaukee, WI
Checkmark Icon$134,504
06-0230710/15/2008Claimant(s): Robert J. and Betty J. Treat
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): 1717 Capital Management Company
Respondent Lawyers(s): Natalie T. Furniss
Arbitrator(s): Mark D. Sadow, John R. Loss, Jeffrey Caleb Etter
Hearing Site: St. Louis, MO
Checkmark Icon$99,295
06-0167908/20/2008Claimant(s): Robert Montanino
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Donald P. Wray
Arbitrator(s): Richard L. Herzfeld, Donald Raymond McNally, Mary Noe
Hearing Site: New York, NY
Checkmark Icon$40,000

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