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FINRA Awards for Allan Weiss

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Displaying 10 out of 14 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0019403/25/2020Claimant(s): Thomas Hirsch
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Louis F. Mendez
Arbitrator(s): Allan Weiss, Gregory Hunter Mathews, James A. McIntosh
Hearing Site: Louisville, KY
Checkmark IconDismissed by Rule 12206/12504
15-0020211/02/2016Claimant(s): Elizabeth Johnson
Claimant Lawyers(s): Elizabeth H. Johnson
Respondent(s): Lloyd Painter, Painter Financial
Respondent Lawyers(s): Brian Nally
Arbitrator(s): James Clifton Stone, Allan Weiss, Anthony G. Belak
Hearing Site: Louisville, KY
Checkmark Icon$0
14-0295307/18/2016Claimant(s): Ann Oldfather, F/B/O Ann B. Oldfather, Oldfather & Morris Profit Sharing Plan
Claimant Lawyers(s): Robert S. Deskins
Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors, Jill Bradley, Wachovia Securities, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Jeffrey M. Bain, Allan Weiss, Robert Laurence Astorino
Hearing Site: Louisville, KY
Checkmark Icon$181,757
15-0081211/09/2015Claimant(s): Peggy Faircloth
Claimant Lawyers(s): Peggy Bowden Faircloth
Respondent(s): Stephens
Respondent Lawyers(s): Jana Kim Fowler
Arbitrator(s): Allan Weiss
Hearing Site: Nashville, TN
Checkmark Icon$0
13-0229104/28/2015Claimant(s): Estate of Billie Sue Looney
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Allan Weiss, J. Wesley Romine, Charles Carl Fridlin
Hearing Site: Birmingham, AL
Checkmark Icon$0
14-0074402/13/2015Claimant(s): Julie Farkas
Claimant Lawyers(s): Julie B. Farkas
Respondent(s): Amy Brannen, Wells Fargo Advisors, Jennifer Reigle, John Gardner, Michael Brannen, Sheila Kerr
Respondent Lawyers(s): William W. Allen
Arbitrator(s): Allan Weiss, Jan M. West, James Douglas Wilbanks
Hearing Site: Louisville, KY
12-0276202/21/2014Claimant(s): Sandra J. Smith, IRA
Claimant Lawyers(s): Jahan K Manasseh
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Allan Weiss
Hearing Site: Nashville, TN
Checkmark IconExpungement
11-0158505/15/2012Claimant(s): Roberta Eaton, Rondal Eaton Trust
Claimant Lawyers(s): Zachary J. Eichel
Respondent(s): Chase Investment Services Corp., Jeffrey Roache
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Allan Weiss, Raymond M. Kirtley, William Lawrence Spellman
Hearing Site: Indianapolis, IN
Checkmark Icon$0
10-0174602/17/2012Claimant(s): William Featheringill
Claimant Lawyers(s): Rebecca A. Beers
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): A. Kelly Brennan Bolvig
Arbitrator(s): Allan Weiss, James Francis Donovan, Robert E. Graves
Hearing Site: Birmingham, AL
Checkmark Icon$1,950,300
09-0588402/18/2011Claimant(s): Woodrow & Joyce Vermillion
Claimant Lawyers(s): Randall S. Strause
Respondent(s): Dean Donohue, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Allan Weiss
Hearing Site: Louisville, KY
Checkmark IconStipulated Award and Expungement

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