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FINRA Awards for Portfolio Advisors Alliance

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0045302/08/2022Claimant(s): William Bridges
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Portfolio Advisors Alliance
Respondent Lawyers(s): Kerri Wasserman
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
19-0014012/22/2020Claimant(s): John Laughlin Roth IRA
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Portfolio Advisors Alliance
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): James R. Stirn
Hearing Site: Washington, DC
Checkmark Icon$15,000

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