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FINRA Awards for Advanced Planning Securities.

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0008205/14/2010Claimant(s): Eugene O. Jones and Joy F. Jones
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Charles Slowey, Edward Puttick, Advanced Planning Securities.
Respondent Lawyers(s): Charles C. Slowey, Joseph Keenan
Arbitrator(s): John J. Meyer, Jerry C. Prestridge, David Walton Earle
Hearing Site: New Orleans, LA
Checkmark IconStipulated Award
08-0082902/04/2009Claimant(s): Sharon Davis
Claimant Lawyers(s): Marc J. Ross
Respondent(s): Bruce Guarino, Christopher Ferrara, Christopher Pollina, Edward Puttick, George Hasapes, John Williams, Joseph Natoli, Advanced Planning Securities., Rockwell Global Capital
Respondent Lawyers(s): David S. Smith, John Jackson Williams, Joseph F. Keenan
Arbitrator(s): Stuart K. Furman, Robert J. Walter, Greg Knight
Hearing Site: Orlando, FL
Checkmark Icon$0
07-0229109/05/2008Claimant(s): Brenda Kinnan, Thomas Kinnan
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Charles Slowey, Advanced Planning Securities.
Respondent Lawyers(s): Charles C. Slowey, Joseph Keenan
Arbitrator(s): Donald M. Macdonald, W. Patrick Baker, Dorothy Nelson Bryan
Hearing Site: New Orleans, LA
Checkmark Icon$406,860

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