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FINRA Awards for Omaha, NE

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Displaying 10 out of 98 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0362609/25/2024Claimant(s): Scott Royal
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene
Arbitrator(s): Wesley C. Wilson, Tina E. Patterson, Nanci Sondra Landy
Hearing Site: Omaha, NE
23-0142601/29/2024Claimant(s): Justin Widick
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Financial West Group
Respondent Lawyers(s): Gene Valentine, CEO
Arbitrator(s): Charles G. Michaels
Hearing Site: Omaha, NE
23-0025510/02/2023Claimant(s): Landon Troyer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Jenny Yuan
Arbitrator(s): Charles G. Michaels
Hearing Site: Omaha, NE
22-0262708/07/2023Claimant(s): Kirby McDonald
Claimant Lawyers(s): Jessica E. Levine
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Charles G. Michaels
Hearing Site: Omaha, NE
22-0127508/07/2023Claimant(s): Ray Nuss
Claimant Lawyers(s): Ray Nuss
Respondent(s): Edward Jones
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Rhonda S. McCarthy, Leonard Arthur Nelson, Troy J. Bird
Hearing Site: Omaha, NE
Checkmark IconDismissed by Rule 12212
22-0271906/09/2023Claimant(s): Darrell Heinen, Dave Sutton, Dustin McCurdy, Grant Wells, Harbans Lal, Herbert Nieport, Jerry Grove, Jon Miller, Mark Wells, Marlan Elbert, Richard O'Brien, Wells AG Supply, Richard and Ruth O'Brien
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Kevin Springstead, Louis Pellegriti, Patrick Cavanagh, Terry Tzagarakis
Respondent Lawyers(s): Kevin Francis Springstead, Louis Joseph Pellegriti, Patrick Joseph Cavanagh, Terry Tzagarakis
Arbitrator(s): Philip J. Glick
Hearing Site: Omaha, NE
Checkmark Icon$1,564,950
22-0153706/07/2023Claimant(s): David Pitlor
Claimant Lawyers(s): David Pitlor
Respondent(s): Garrett Wynne, Charles Schwab & Co.., TD Ameritrade., Stacy Fries
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Rochelle E. Dillard, Susan L. Walker, Matthew Rothchild
Hearing Site: Omaha, NE
Dismissed by Rule 12504
23-0039104/25/2023Claimant(s): William Siefert
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Joseph Todaro
Respondent Lawyers(s): Joseph Paul Todaro
Arbitrator(s):
Hearing Site: Omaha, NE
Checkmark Icon$131,556
22-0167803/31/2023Claimant(s): Dennis Thurman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Gregory G. Gocek
Hearing Site: Omaha, NE
22-0132602/28/2023Claimant(s): Scott Kaup
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): VSR Financial Services.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Steven Meyrich, William (Bill) H. O'Donnell, Richard Djokic
Hearing Site: Omaha, NE

98 Results

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