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FINRA Awards for Barry A. Mainardi

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0345807/23/2021Claimant(s): Sean Dobranich
Claimant Lawyers(s): James P. Galvin
Respondent(s): Wells Fargo Clearing Services, Waddell & Reed
Respondent Lawyers(s): Chad Weaver, Patricia Cowart
Arbitrator(s): Barry A. Mainardi, Robert E. Jenks, Ben Lehavi
Hearing Site: Las Vegas, NV
13-0277012/10/2015Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Christopher Gallo
Respondent Lawyers(s): Scott R. Shewan
Arbitrator(s): Barry A. Mainardi, Michael G. Clark, Michael John Florio
Hearing Site: Las Vegas, NV
14-0093012/11/2014Claimant(s): Mike Kratzke
Claimant Lawyers(s): Miriam G. Bahcall
Respondent(s): The Moapa Band of Paiutes
Respondent Lawyers(s): Ron Settje
Arbitrator(s): Barry A. Mainardi, Ralph B. Perry, David L. Moran
Hearing Site: Las Vegas, NV
Expungement
10-0550701/12/2012Claimant(s): Palatine Capital Investment Group
Claimant Lawyers(s): Harold P. Gewerter
Respondent(s): Alpine Securities Corporation
Respondent Lawyers(s): Erik A. Christiansen
Arbitrator(s): Douglas Edwards, Howard W. Shannon, Barry A. Mainardi
Hearing Site: Las Vegas, NV
Checkmark Icon$0
07-0270803/02/2011Claimant(s): Carol Flier, Nicole Flier, First Savings Bank C/F Dennis Flier IRA, Dennis Flier. Defined Benefit Trust, Flier Family Trust DTD 1/21/98
Claimant Lawyers(s): Dennis Flier
Respondent(s): Financial West Group
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Barry A. Mainardi, Robert Rosen, Philip H. Marmurowski
Hearing Site: Las Vegas, NV
Checkmark Icon$0
08-0123204/07/2010Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Hicks III
Respondent Lawyers(s): Thomas G. Hicks
Arbitrator(s): Victor B. Taube, Barry A. Mainardi, Vincy S. Stringham
Hearing Site: Salt Lake City, UT
08-0230709/09/2009Claimant(s): Elsie Kelly, Raymond Kelly, Raymond O's Kelly & Elsie M. Ke U/A dtd, Raymond O's Kelly Rev Liv Trust U/A dtd
Claimant Lawyers(s): Thomas A. Hargett
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Paul H. Lamboley, Barry A. Mainardi, Darryl J. Horowitt
Hearing Site: Reno, NV
Checkmark Icon$100,080
09-0007409/01/2009Claimant(s): Summit Brokerage Services.
Claimant Lawyers(s): Gary Menzer
Respondent(s): Gregory Kinkead
Respondent Lawyers(s): John R. McMillan
Arbitrator(s): Barry A. Mainardi
Hearing Site: Las Vegas, NV

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