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FINRA Awards for Omaha, NE

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Displaying 21-30 out of 98 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0032208/31/2020Claimant(s): Mark Schneider
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Michael S. Matek
Hearing Site: Omaha, NE
18-0167906/29/2020Claimant(s): Stephen Schroeder
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Blake Kiernan
Respondent Lawyers(s): Blake H. Kiernan
Arbitrator(s): Mark L Miller, Charles G. Michaels, Robert Elman
Hearing Site: Omaha, NE
Checkmark Icon$69,550
19-0061901/21/2020Claimant(s): Ronald Carson
Claimant Lawyers(s): Matt Wolper
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Philip J. Glick
Hearing Site: Omaha, NE
18-0345311/20/2019Claimant(s): Lonny Bohling
Claimant Lawyers(s): Dennis G. Peatrowsky
Respondent(s): Kenneth Hackett, Raymond James Financial Services.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Henry R Cox, Thomas J. Pleiss, John R. Loss
Hearing Site: Omaha, NE
19-0002910/25/2019Claimant(s): Jonathan Beukelman, Mark Geist
Claimant Lawyers(s): Cheryl S. Chang
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew F. Renna
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Omaha, NE
19-0076810/09/2019Claimant(s): Brady Marlow
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward Walton
Arbitrator(s): John R. Loss
Hearing Site: Omaha, NE
19-0012509/09/2019Claimant(s): Brian Luther
Claimant Lawyers(s): Megan S. Wright
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Thomas F. Mahoney, Charles G. Michaels, Bryan L. Johnson
Hearing Site: Omaha, NE
18-0341409/04/2019Claimant(s): James Vanderloop
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Daniel Kloskowski, Todd Henrich
Respondent Lawyers(s): Daniel Joseph Kloskowski, Todd Joseph Henrich
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Omaha, NE
Checkmark Icon$15,942
19-0031908/26/2019Claimant(s): Kevin Engbers
Claimant Lawyers(s): Matthew E. Wolper
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Susan L. Walker
Hearing Site: Omaha, NE
17-0285505/30/2019Claimant(s): Donald L. and Beverly C. Hamill
Claimant Lawyers(s): Donald Hamill
Respondent(s): David Harris, Doris Burr, Gregory Shea, Harry Peters, Joseph Hooper, Justin Burr, Kevin Cline, Robert Burr, Russell Newton, Stephen Larkin, Blue Ridge Group., Source Capital Group.
Respondent Lawyers(s): Company President, David Webster Harris, David Harris, Doris R. Burr, Harry Peters, Michael A. Valenti, Russell William Newton, Stephen Carl Larkin, Travis Creed
Arbitrator(s): Michael S. Matek, Mark S. Foster, Michael D. Fitzgerald
Hearing Site: Omaha, NE
Checkmark Icon$0

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