Potomac Analytics' Logo

FINRA Awards for Charles W. Lavender

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 10 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0514602/24/2014Claimant(s): Brian Benoit
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Alan Chepenik, David Benoit, Raymond James Financial Services., Richard Benoit, Benoit, Chepenik & Benoit P.A.
Respondent Lawyers(s): David A. Gehn, Richard Benoit, Robert M. Rudnicki
Arbitrator(s): Terry G. Cleaves, Dwayne E. Clark, Charles W. Lavender
Hearing Site: Boca Raton, FL
11-0165801/10/2013Claimant(s): D7 Trading, Kingdom Legacy Fund
Claimant Lawyers(s): Tucker Harrison Byrd
Respondent(s): Penson Financial Services., TD Ameritrade Holding Corporation, Thinkorswim. n/k/a Bellevue Chicago
Respondent Lawyers(s): Joseph A. Matteo
Arbitrator(s): George K. Beardsley, Donald K. Runkle, Charles W. Lavender
Hearing Site: Tampa, FL
Checkmark Icon$0
10-0539511/09/2012Claimant(s): Daniel Fanelli
Claimant Lawyers(s): Brandon S. Peters
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Alan E. Linden, Charles W. Lavender, Wallace Morton Rudolph
Hearing Site: Orlando, FL
Checkmark Icon$36,250
12-0155511/08/2012Claimant(s): GunnAllen Financial
Claimant Lawyers(s): William J. Schifino
Respondent(s): Alfred Cali
Respondent Lawyers(s): Alfred Guy Cali
Arbitrator(s): Charles W. Lavender
Hearing Site: Tampa, FL
10-0071205/22/2012Claimant(s): Jack Lewis
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Charles W. Lavender
Hearing Site: Orlando, FL
Checkmark IconStipulated Award
10-0207304/25/2012Claimant(s): Frances Dalmau, Julius Dalmau
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): Charles W. Lavender
Hearing Site: Orlando, FL
Checkmark IconStipulated Award
10-0308204/20/2012Claimant(s): Estate of Joanne Liona Murray
Claimant Lawyers(s): Wayne T. Murray
Respondent(s): Gary Whittier, Roy Caso, MML Investors Services, Mass Mutual Financial Group
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Paul L. Matecki, Charles W. Lavender, Karl A. Vogeler
Hearing Site: Tampa, FL
Checkmark Icon$0
10-0243603/19/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Christopher Dickman
Respondent Lawyers(s): Christopher J. Dickman
Arbitrator(s): Charles W. Lavender
Hearing Site: Orlando, FL
10-0351110/04/2011Claimant(s): Angela Allen, Christopher Allen, Angela Allen IRA, Christopher M. Allen IRA
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): Thinkorswim.
Respondent Lawyers(s): Howard J. Kaplan
Arbitrator(s): Diana A. Weiner, Dennis R. Sullivan, Charles W. Lavender
Hearing Site: Tampa, FL
Checkmark Icon$228,000
10-0304105/23/2011Claimant(s): Ann Fox
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Jerry Clark
Respondent Lawyers(s): Jerry Clark
Arbitrator(s): Charles W. Lavender
Hearing Site: Orlando, FL
Checkmark Icon$196,146

13 Results

Display: