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FINRA Awards for Frank D. Connett

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0037902/27/2015Claimant(s): Peter Stekr
Claimant Lawyers(s): Peter Morris Stekr
Respondent(s): UMB Financial Services.
Respondent Lawyers(s): Wendy S. Menghini
Arbitrator(s): Jack D. Elmquist, Frank D. Connett, John P. Wright
Hearing Site: Omaha, NE
13-0187212/12/2014Claimant(s): Hereford Securities Management, S.A.
Claimant Lawyers(s): David H. Kalisek
Respondent(s): Juan Alejos, Charles Morgan Securities.
Respondent Lawyers(s): Benjamin Suess, Paul E. Taboada
Arbitrator(s): Murray S. Levin, Frank D. Connett, Richard L. Mitchell
Hearing Site: Omaha, NE
Checkmark Icon$0
13-0036110/14/2013Claimant(s): Jeremy Gove, Michael Digaetano
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Judith Moomey, Larry Moomey
Respondent Lawyers(s): Kalju Nekvasil
Arbitrator(s): Frank D. Connett, James E. Michaels, Albert Bernard Kerkhove
Hearing Site: Omaha, NE
Expungement

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