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FINRA Awards for Jettie K. Thomas

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Displaying 9 out of 9 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0424710/24/2013Claimant(s): Ben Brissi
Claimant Lawyers(s): Ben B. Brissi
Respondent(s): Bradley Reifler, Christopher Engel, David Wasitowski, Forefront Capital Management, Forefront Capital Markets LLC, Forefront Management Group
Respondent Lawyers(s): Carolina Reynolds
Arbitrator(s): Jettie K. Thomas
Hearing Site: New York, NY
11-0360307/15/2013Claimant(s): E1 Asset Management.
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): John Thomas Financial
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Charles Kleinbaum, Robert I. Adler, Jettie K. Thomas
Hearing Site: New York, NY
11-0094802/08/2012Claimant(s): Robert Vaudry
Claimant Lawyers(s): Robert Vaudry
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Robert Pincus, Jettie K. Thomas, Joan Seewald Brodsky
Hearing Site: New York, NY
Checkmark Icon$0
10-0204608/25/2011Claimant(s): Maurice Rosen
Claimant Lawyers(s): Richard A. Roth
Respondent(s): Edward Short, EKN Financial Services Inc.
Respondent Lawyers(s): Bradley D. Schnur, Mark J. Astarita
Arbitrator(s): Neil G. Gargiulo, Camille S. Cooper, Jettie K. Thomas
Hearing Site: New York, NY
Checkmark Icon$0
09-0449110/27/2010Claimant(s): James Olinkiewicz
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): UBS Financial Services Inc., William Miller
Respondent Lawyers(s): A.J. Borrelli
Arbitrator(s): David J. Pine, Jettie K. Thomas, Jerome M Shafer
Hearing Site: New York, NY
Checkmark Icon$0
09-0615909/30/2010Claimant(s): Eric Friedlander
Claimant Lawyers(s): David E. Robbins
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Julita Kargol
Arbitrator(s): Richard W. Cutler, Jettie K. Thomas, Milton M. Stein
Hearing Site: New York, NY
Checkmark Icon$0
07-0353007/01/2009Claimant(s): Leon Farber
Claimant Lawyers(s): Stuart Meissner
Respondent(s): Barry Kornfeld
Respondent Lawyers(s): Barry M. Kornfeld
Arbitrator(s): Carolyn A. Mann, Jettie K. Thomas, Mark J. Happe
Hearing Site: New York, NY
Checkmark IconStipulated Award and Expungement
08-0152106/26/2009Claimant(s): Theodore Kunz
Claimant Lawyers(s): Theodore C Kunz
Respondent(s): Abel/Noser Corp.
Respondent Lawyers(s): David M. Sobel
Arbitrator(s): Jettie K. Thomas, Leona Beane, Nancy S. Gerber
Hearing Site: New York, NY
08-0056901/29/2009Claimant(s): Glendale Securities.
Claimant Lawyers(s): Scott G. Monson
Respondent(s): Bruce Blatman, Wendy Epps
Respondent Lawyers(s): Bruce W. Barnes, Richard Goble
Arbitrator(s): Jettie K. Thomas
Hearing Site: New York, NY

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