FINRA Awards for Wilmington, DE

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 41-50 out of 84 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
19-01130	11/05/2019	Claimant(s): Kyle Skinner Claimant Lawyers(s): William W. Uchimoto Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Thomas G. Nicholson Arbitrator(s): Tina E. Patterson Hearing Site: Wilmington, DE
18-04358	09/11/2019	Claimant(s): Wayne Wagner Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Louis H Miron Hearing Site: Wilmington, DE
19-00211	07/10/2019	Claimant(s): Ronald Bare Claimant Lawyers(s): Elaine Rice Respondent(s): Securities America. Respondent Lawyers(s): Tyler Schubauer Arbitrator(s): Louis H. Miron, John Michael Derderian, Ellen F. Kandell Hearing Site: Wilmington, DE
18-03361	03/26/2019	Claimant(s): Anthony Gambone Claimant Lawyers(s): Anthony Michael Gambone Respondent(s): Pruco Securities. Respondent Lawyers(s): Alan S. Brodherson Arbitrator(s): John James McGovern Hearing Site: Wilmington, DE
18-02025	03/14/2019	Claimant(s): James Gibson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Jim Geiger Hearing Site: Wilmington, DE
18-00939	01/16/2019	Claimant(s): Janet Redman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Diane Ciccone Hearing Site: Wilmington, DE
18-00658	12/12/2018	Claimant(s): William Walters Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplan Arbitrator(s): Diane Ciccone Hearing Site: Wilmington, DE
18-02028	11/15/2018	Claimant(s): Leonard Dibbs Claimant Lawyers(s): Kristian Kraszewski Respondent(s): Four Points Capital Partners LLC Respondent Lawyers(s): Michael P. Gilmore Arbitrator(s): Patrick R. Westerkamp Hearing Site: Wilmington, DE		Expungement
16-01317	11/07/2018	Claimant(s): Urszula Thompson Claimant Lawyers(s): Thomas P. Kelly Respondent(s): Richard Muhlberg, Metis Advisors Respondent Lawyers(s): Alan Gilmore Arbitrator(s): Catherine Stewart, Jane Tam, Carrie L. Chelko Hearing Site: Wilmington, DE		$17,900
16-00378	10/09/2018	Claimant(s): Jerry Duke Claimant Lawyers(s): Jennifer Tarr Respondent(s): Ralph Principe, America's Choice Equities LLC Respondent Lawyers(s): Michael Gilmore Arbitrator(s): Richard E. Lauziere, Jim Geiger, Joseph J. Dougherty Hearing Site: Wilmington, DE		$0