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FINRA Awards for Oliver J. Janney

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Displaying 10 out of 14 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0283905/13/2019Claimant(s): Marissa Zalay
Claimant Lawyers(s): E. LeBron Free
Respondent(s): UBS Financial Services Inc., Michael Cowan, Comerica Securities
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Darryl C. Wilson, Martin M. Van Luven, Oliver J. Janney
Hearing Site: Tampa, FL
Checkmark IconDismissed by Rule 12206/12504
16-0171812/18/2017Claimant(s): Suntrust Robinson Humphrey.
Claimant Lawyers(s): Frederick S. Schrils
Respondent(s): William Blair & Company L.L.C., Calton & Associates.
Respondent Lawyers(s): Debra A. Jenks, George L. Guerra
Arbitrator(s): David C. Matthews, Oliver J. Janney, James Schoenbeck
Hearing Site: Tampa, FL
14-0021608/07/2014Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Patrick Bray
Respondent Lawyers(s): Patrick Ryan Bray
Arbitrator(s): John P. Cullem, John R Kiefner, Oliver J. Janney
Hearing Site: Tampa, FL
12-0136002/06/2014Claimant(s): Gail Greene, on behalf of her IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): John R. Pepe, Oliver J. Janney
Hearing Site: Tampa, FL
Checkmark IconExpungement
11-0454910/03/2013Claimant(s): Anderson & Strudwick Investment Corp., Anderson & Strudwickorporated
Claimant Lawyers(s): Robert Taylor Richard
Respondent(s): Donna Jenkins
Respondent Lawyers(s): Donna Jenkins
Arbitrator(s): Oliver J. Janney
Hearing Site: Tampa, FL
12-0053605/16/2013Claimant(s): Gary Kern
Claimant Lawyers(s): Gary W. Kern
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Damian J. Betz
Arbitrator(s): Ronald H. Walton, Steele Thomas Williams, Oliver J. Janney
Hearing Site: Tampa, FL
Checkmark Icon$0
10-0275604/23/2012Claimant(s): SIG Real Estate Holdings.
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): William F. Glaser, Nicholas G. Dukas, Oliver J. Janney
Hearing Site: Tampa, FL
Checkmark IconExpungement
11-0072403/08/2012Claimant(s): Alfred Hoffman
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Oliver J. Janney, Karl A. Vogeler, James Howell Garrison
Hearing Site: Tampa, FL
Checkmark Icon$0
10-0558703/05/2012Claimant(s): Barry Rosenfeld
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): William S. Glickfield, Don Muyskens, Oliver J. Janney
Hearing Site: Tampa, FL
Checkmark Icon$435,075
09-0292611/10/2011Claimant(s): Margaret Noble
Claimant Lawyers(s): Margaret K Noble
Respondent(s): Edward Rosenberg, Richard Angelotti
Respondent Lawyers(s): Marc Dobin, Richard Henry Angelotti
Arbitrator(s): Muriel Desloovere, Oliver J. Janney, Keith M. Crouse
Hearing Site: Tampa, FL
Checkmark IconExpungement

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