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FINRA Awards for Brian Michael Kane

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Displaying 10 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0246210/17/2022Claimant(s): John Griffin
Claimant Lawyers(s): John C. Griffin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Brian Michael Kane
Hearing Site: Jacksonville, FL
Checkmark Icon$0
21-0030508/31/2022Claimant(s): Gene Lindenboom, Mary Lindenboom
Claimant Lawyers(s): Lars Soreide
Respondent(s): Justin Dolan, Cetera Advisors LLC
Respondent Lawyers(s): Elaine Rice
Arbitrator(s): Brian Michael Kane, Philip William Vineyard, Donald Gene Tanner
Hearing Site: Jacksonville, FL
Checkmark IconExpungement
20-0421003/30/2022Claimant(s): Nathan Edwards
Claimant Lawyers(s): Nathan Edwards
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Mitchel Weiss, Brian Michael Kane, Mary Ann Etzler
Hearing Site: Jacksonville, FL
Checkmark Icon$0
19-0028211/22/2021Claimant(s): Teena Clifton
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Koss, Olinger and Company
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Pamela Jeanne Rush, Gayle B. Carlson, Brian Michael Kane
Hearing Site: Jacksonville, FL
Checkmark Icon$237,553
20-0379010/19/2021Claimant(s): Mary LaPlante
Claimant Lawyers(s): Mary LaPlante
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Paul R. Klein
Arbitrator(s): Kenneth R. Starr, Brian Michael Kane, Niels Patrick Murphy
Hearing Site: Jacksonville, FL
18-0083806/24/2020Claimant(s): Charles Ross
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Leonel Peraza
Arbitrator(s): John P. Cullem, Richard S. Zaifert, Brian Michael Kane
Hearing Site: Jacksonville, FL
Checkmark IconDismissed by Rule 12206/12504
19-0232403/23/2020Claimant(s): David Vigil
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Brian Michael Kane
Hearing Site: Jacksonville, FL
18-0305107/30/2019Claimant(s): Melissa Wright
Claimant Lawyers(s): Carl F. Schoeppl
Respondent(s): BB&T Securities
Respondent Lawyers(s): Robert P. Howard
Arbitrator(s): Pamela Jeanne Rush, Brian Michael Kane, Terrence L. Harvey
Hearing Site: Jacksonville, FL
19-0025506/14/2019Claimant(s): Christopher Bonnevier
Claimant Lawyers(s): Christopher J. Bonnevier
Respondent(s): Robinhood Securities
Respondent Lawyers(s): Archit Shah
Arbitrator(s): Brian Michael Kane
Hearing Site: Jacksonville, FL
Checkmark Icon$163
18-0003605/23/2019Claimant(s): Dawn Bloom
Claimant Lawyers(s): Craig Stein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carol A. Field
Arbitrator(s): Jacquelyn M. Shannon, Robert L. Jolley, Brian Michael Kane
Hearing Site: Jacksonville, FL

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