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FINRA Awards for Philadelphia, PA

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Displaying 621-627 out of 627 results
Case Number Award Date Case Summary Customer Case? Amount Granted
06-0486512/10/2007Claimant(s): Kenneth Fitzpatrick
Claimant Lawyers(s): Kenneth J. Fitzpatrick
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Donald P. Wray
Arbitrator(s): Lewis R. Jaffe, George Reath, Neale Clark Bringhurst
Hearing Site: Philadelphia, PA
Checkmark Icon$0
06-0259412/06/2007Claimant(s): Louie Kau Wang and June Ting Wang
Claimant Lawyers(s): Joseph F. Kornicki
Respondent(s): Howard Moses, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Jim Geiger, Steven T. Stern, Richard Frank Colello
Hearing Site: Philadelphia, PA
Checkmark Icon$0
06-0354511/20/2007Claimant(s): Martin Braam
Claimant Lawyers(s): Martin E. Braam
Respondent(s): John Fioretti, GCO Services f/k/a Gruntal & Co.
Respondent Lawyers(s): John Fioretti
Arbitrator(s): Mary Ann M. Melchiorre, Sheldon Seligsohn, Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
06-0512510/23/2007Claimant(s): Morgan Stanley DW Inc., Morgan Stanley Funding Services Corp.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Daniel Silverberg
Respondent Lawyers(s): Scott F. Griffith
Arbitrator(s): Andrew W. Davitt, Peter D. Shelp, Jay F. Frascella
Hearing Site: Philadelphia, PA
05-0252110/18/2007Claimant(s): Brenda Caswell, Gail Carlson, George Finkbiner, Herbert Hansen, Jane Hoffman, Jane Kercheval, Joyce Alo, Kendall Kelly, Kenneth Caswell, Margaret Huyler, Marguerite Edwards, Ralph Carlson, Rosemary O'Donnell, Earl Kercheval, Elizabeth Hansen, Estate of Eileen McCardle, Antonio and Bernardina Augusto, Frederick and Diane Burmeister, Harold and Janet Bennett, Davison Rugs Profit Sharing Trust
Claimant Lawyers(s): Brian A. Carlis, Richard D. DeVita
Respondent(s): Royal Alliance Associates., Comprehensive Asset Mgmt and Servicing
Respondent Lawyers(s): Brian A. Carlis, Erika L. Altman
Arbitrator(s): Ronnie Edward Nichols, Robert T. Kelly, Suzanne Levin Wolfson
Hearing Site: Philadelphia, PA
Checkmark Icon$125,423
05-0470209/27/2007Claimant(s): Anthony Petchalonis
Claimant Lawyers(s): Barry H. Dyller
Respondent(s): Gary Crisci, Merrill Lynch Pierce Fenner & Smith Inc., Scott Hartshorn
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Blaine S. Greenfield, Michael D. Neft, Nickolas F. Monteforte
Hearing Site: Philadelphia, PA
Checkmark Icon$0
05-0308608/01/2007Claimant(s): Polina Tertyshnaya, Alexander Tertyshny
Claimant Lawyers(s): Brian Kennedy
Respondent(s): VFinance Investments.
Respondent Lawyers(s): Adam H. Smith
Arbitrator(s): John W. Lear, Russell Stine Heckler, Jerry G. Kos
Hearing Site: Philadelphia, PA
Checkmark Icon$0

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