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FINRA Awards for Boca Raton, FL

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Displaying 1,321-1,330 out of 1,334 results
Case Number Award Date Case Summary Customer Case? Amount Granted
07-0146310/30/2007Claimant(s): John McQueston
Claimant Lawyers(s): John McQueston
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Guy K. Stewart
Hearing Site: Boca Raton, FL
Checkmark Icon$0
07-0047910/29/2007Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Jason M. Fedo
Respondent(s): John Gordon, Jenkins-Olsen.
Respondent Lawyers(s): Company Corporation, John Gordon
Arbitrator(s): Elena G. Rodriguez, Arnold Levine, Richard H. Tierney
Hearing Site: Boca Raton, FL
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07-0014910/24/2007Claimant(s): Averill Fisk
Claimant Lawyers(s): Lonnie K. Martens
Respondent(s): Tradestation Securities
Respondent Lawyers(s): Marc Stone
Arbitrator(s): Elena G. Rodriguez, Walter A. Bajak, James Chris Mills
Hearing Site: Boca Raton, FL
Checkmark Icon$65,000
06-0533510/22/2007Claimant(s): Sandgrain Securities.
Claimant Lawyers(s): Robert A. Giacovas
Respondent(s): Richard Aulicino
Respondent Lawyers(s): Jessica N. Garvin
Arbitrator(s): G. Robert Abrams, Robert A. Sauerberg, Sherry Puro
Hearing Site: Boca Raton, FL
05-0580710/19/2007Claimant(s): David and Louise Blumlo
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Pacvest Associates.
Respondent Lawyers(s): Robert K. Mann
Arbitrator(s): Judy A. Avey, James G. Gertz, Joseph Leonard Friedes
Hearing Site: Boca Raton, FL
Checkmark Icon$64,433
07-0202110/18/2007Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Mark Evans
Respondent Lawyers(s): Mark A. Evans
Arbitrator(s): Robert A. Fabricant
Hearing Site: Boca Raton, FL
06-0420910/17/2007Claimant(s): M Securities Investment.
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Calvin Grigsby, Grigsby & Associates.
Respondent Lawyers(s): George L. Guerra
Arbitrator(s): James D. McDonald, Robert S. Natiss, Marc S. Dobin
Hearing Site: Boca Raton, FL
06-0209410/10/2007Claimant(s): Sidney and Sandra Levy
Claimant Lawyers(s): Ronald P. Weil
Respondent(s): Wachovia Securities, Robert DeForest
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Kalman J. Lester, Berthold T. Berkwich, Martin P. Bergman
Hearing Site: Boca Raton, FL
Checkmark Icon$382,600
06-0174010/09/2007Claimant(s): Alvaro De Castro & Maria Penna
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): EFG Capital International
Respondent Lawyers(s): Barton S. Sacher
Arbitrator(s): Seymour Herman, Michael Robert Emery, James G. Gertz
Hearing Site: Boca Raton, FL
Checkmark Icon$0
07-0058610/03/2007Claimant(s): Scott Efron and Karen Efron
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew Wolper
Arbitrator(s): Richard E. Conner, Barry David Thorpe, Andrew R. Present
Hearing Site: Boca Raton, FL
Checkmark Icon$0

1,334 Results

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