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FINRA Awards for Tracy L. Allen

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Displaying 31-40 out of 102 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0124102/04/2022Claimant(s): Adam Clyne
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Legend Equities Corporation
Respondent Lawyers(s): Jessica Levine
Arbitrator(s): Tracy L. Allen
Hearing Site: St. Louis, MO
21-0109701/31/2022Claimant(s): Kurt Van Dyken, Ronald Bullis
Claimant Lawyers(s): Harris Freedman
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
20-0209412/16/2021Claimant(s): William Barrett, William G. Barrett Roth IRA
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): Ausdal Financial Partners., Sentinus-Halo Securities
Respondent Lawyers(s): Nancy L. Hendrickson
Arbitrator(s): Tracy L. Allen, Sally J. Wiggins, Charles Kahn
Hearing Site: Milwaukee, WI
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21-0117011/24/2021Claimant(s): Sanjay Beach
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Tracy L. Allen
Hearing Site: Cleveland, OH
20-0348610/11/2021Claimant(s): Steven Duke
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan Hackbarth
Arbitrator(s): Tracy L. Allen
Hearing Site: St. Louis, MO
20-0299607/06/2021Claimant(s): Daniel Steichen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
20-0278105/20/2021Claimant(s): Jacob Allen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Tracy L. Allen
Hearing Site: St. Louis, MO
20-0293604/21/2021Claimant(s): Eric Wegner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Parkland Securities
Respondent Lawyers(s): Randolph F. Pistor
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
20-0235404/13/2021Claimant(s): Anthony Bonanno
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Park Avenue Securities.
Respondent Lawyers(s): Kristin L. Wynne
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
20-0281804/09/2021Claimant(s): John Moriarty
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Tracy L. Allen
Hearing Site: St. Louis, MO

102 Results

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