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FINRA Awards for Carlos Provencio

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0120110/23/2020Claimant(s): Arthur Bing, Bryan Davis, Holly Easton, Richard Stobbs, Yvonne Mitchell, Zoran Stoyanovich
Claimant Lawyers(s): John S. Chapman
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos Provencio
Arbitrator(s): Sharon R. Merriman, Jacqueline R. Fox, Gregory Hunter Mathews
Hearing Site: Columbus, OH
Checkmark Icon$450
11-0213906/28/2013Claimant(s): Cynthia Scott
Claimant Lawyers(s): Cynthia Scott
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos Provencio
Arbitrator(s): John R. Pepe, Alfred Brunette, John B. Roe
Hearing Site: Tampa, FL
Checkmark Icon$0
12-0011601/15/2013Claimant(s): Mark Kearsley
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos Provencio
Arbitrator(s): Bruce W. Bennett
Hearing Site: Atlanta, GA
Checkmark Icon$213
12-0008006/19/2012Claimant(s): Charlotte Reed
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos Provencio
Arbitrator(s): Walter P. Hitchcock
Hearing Site: Birmingham, AL
Checkmark Icon$9,046
11-0212003/01/2012Claimant(s): J. Charles and Loena P. Boling
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos Provencio
Arbitrator(s): Erik R. Siering
Hearing Site: Birmingham, AL
Checkmark Icon$213

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