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FINRA Awards for Daniel J. Pagnano

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Displaying 21-30 out of 46 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0069807/01/2019Claimant(s): Charlene Gates, Succession of Richard Gates
Claimant Lawyers(s): Jessica Vasquez
Respondent(s): Irvin Schorsch, Pennsylvania Capital Management
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Mark A. Myers, Barbara L. Edin, Daniel J. Pagnano
Hearing Site: New Orleans, LA
Checkmark Icon$0
18-0154505/13/2019Claimant(s): John Carolyn
Claimant Lawyers(s): Alise Johnson Henry
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Maria Paz Chacon
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
18-0017704/08/2019Claimant(s): Jeffrey Cox, Samuel Garrido
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC, Cetera Investment Services LLC
Respondent Lawyers(s): David J. Freniere, Sean T. Needham
Arbitrator(s): Daniel J. Pagnano, Charles Leonard Smith, Nick Thomas
Hearing Site: Houston, TX
Checkmark IconExpungement
18-0142104/01/2019Claimant(s): Wendy McDaniel
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Windsor Street Capital
Respondent Lawyers(s): John Stalanski
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
Checkmark Icon$100,000
18-0137102/12/2019Claimant(s): Rafael Locken-Testa
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
17-0198512/21/2018Claimant(s): Sally Reagan
Claimant Lawyers(s): Nelson S. Ebaugh
Respondent(s): Morgan Stanley, Ganesh Iyer
Respondent Lawyers(s): Crystal Robles, Nicholas N. George
Arbitrator(s): Daniel J. Pagnano, Christine L. Stetson, Maryanne M. Esser
Hearing Site: Houston, TX
Checkmark Icon$54,954
18-0179112/17/2018Claimant(s): Peter Wright
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Daniel J. Pagnano
Hearing Site: New Orleans, LA
18-0141408/13/2018Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Joseph A. Cialone
Respondent(s): Vicente Davila
Respondent Lawyers(s): Vicente Davila
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
16-0166303/30/2018Claimant(s): Fionnuala Stockton, Joseph Stockton, JFS Ventures Ltd.
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise J. Henry
Arbitrator(s): Daniel J. Pagnano, Allan R. Lazor, Jonathan Charles Day
Hearing Site: Houston, TX
Checkmark IconExpungement
16-0006803/28/2018Claimant(s): Glenn Kelley, Kevin Kelley, Timothy Kelley, Succession of Patricia A. Cleary
Claimant Lawyers(s): Lance C. McCardle
Respondent(s): J.P. Morgan Securities, William Vanlandingham
Respondent Lawyers(s): Jeffrey L. Oakes, John W. Hite
Arbitrator(s): Daniel J. Pagnano, William Gilbert Faulk, Imre Stephen Szalai
Hearing Site: New Orleans, LA
Checkmark IconExpungement

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