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FINRA Awards for Philadelphia, PA

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Displaying 611-620 out of 627 results
Case Number Award Date Case Summary Customer Case? Amount Granted
06-0162203/17/2008Claimant(s): William Jordan
Claimant Lawyers(s): Mary Kay Brown
Respondent(s): Gregory Serras, Vanguard Capital
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Edward T. Borer, Robert I. Rabinowitz, Antonio Albano
Hearing Site: Philadelphia, PA
05-0121202/25/2008Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Michael J. Fortunato
Respondent(s): Charles Haraburda, Gregory Elinsky, Michael Botte
Respondent Lawyers(s): Michael J. Fortunato, Richard J. Puleo
Arbitrator(s): Louis H. Miron, Alan M. Schankel, Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
06-0009102/11/2008Claimant(s): Barbara Delashmitt
Claimant Lawyers(s): David C. Harrison
Respondent(s): Barry MacNeal, David Lamb, BestVest Investment Brokerage Services, MacNeal Associates
Respondent Lawyers(s): Nicholas J. Guiliano
Arbitrator(s): Vincent P. Sarnatora, Kathleen K. Murphy, Robert T. Kelly
Hearing Site: Philadelphia, PA
Checkmark Icon$0
07-0012102/04/2008Claimant(s): Erich Klein
Claimant Lawyers(s): Frederick J. Lanshe
Respondent(s): Douglas Woolley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael E. Olney
Arbitrator(s): Joseph L. Farrell
Hearing Site: Philadelphia, PA
Checkmark Icon$0
05-0136301/30/2008Claimant(s): Donna Bell, Harry Culbreath, Ben Miller Irrevocable Trust
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Foresters Equity Services.
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Kathleen K. Murphy, Joel D. Feldman, Catherine S. Kopley
Hearing Site: Philadelphia, PA
Checkmark Icon$0
05-0275501/23/2008Claimant(s): Eden Ginn UGMA/PA, Michael Ginn, IRA, Alison and Michael Ginn, Michael Ginn DDS PC Pension Plan, Michael Ginn Profit Sharing Plan
Claimant Lawyers(s): Sidney L. Gold
Respondent(s): Morgan Stanley DW Inc., Marque Cohen, Dean Witter Reynolds Inc., Morgan Stanley Dean Witter & Co
Respondent Lawyers(s): Eric G. Wallis
Arbitrator(s): Edward T. Borer, Robert F. Sanville, Richard E. Lerner
Hearing Site: Philadelphia, PA
Checkmark IconStipulated Award and Expungement
07-0163601/16/2008Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Bruce Cooke
Respondent Lawyers(s): John F. Marsini
Arbitrator(s): Allen B. Lang
Hearing Site: Philadelphia, PA
07-0205301/15/2008Claimant(s): Libucki and Company
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): PennMont Securities
Respondent Lawyers(s): Richard B. Feinberg
Arbitrator(s): Howard B. Scherer
Hearing Site: Philadelphia, PA
07-0196412/19/2007Claimant(s): Americo Santella
Claimant Lawyers(s): Samuel E. Cohen
Respondent(s): Sparkle Martin
Respondent Lawyers(s): Lawrence Solomon
Arbitrator(s): Edward T. Borer, Patrick J. O'Neil, Frank P. Santangelo
Hearing Site: Philadelphia, PA
Expungement
06-0065012/13/2007Claimant(s): Joseph Marciano, Michael Marciano
Claimant Lawyers(s): Ethan Halberstadt
Respondent(s): AXA Advisors, AXA Financial., MONY Holdings LLC, MONY Life Insurance Company, Mony Brokerage., Mony Securities Corporation, The Mony Group.
Respondent Lawyers(s): Michael J. Glasheen
Arbitrator(s): Mary Ann M. Melchiorre, Robert W. Ratti, Catherine S. Kopley
Hearing Site: Philadelphia, PA

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