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FINRA Awards for Boca Raton, FL

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Displaying 31-40 out of 1,334 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0167306/21/2024Claimant(s): Adam Vega
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Goldman Sachs & Co. LLC
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
23-0233506/21/2024Claimant(s): James Springer
Claimant Lawyers(s): Craig Stein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Paul J. Burkhart, Stew Cohen, Jason Zachary Jones
Hearing Site: Boca Raton, FL
23-0226706/17/2024Claimant(s): Henry Krich
Claimant Lawyers(s): Craig Stein
Respondent(s): J.P. Morgan Securities LLC
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Joseph Benalt, Nanci Sondra Landy, George H Tucker
Hearing Site: Boca Raton, FL
22-0218306/17/2024Claimant(s): Brad Rude, Eric Diton, Jon Price, Kevin Lydon, Kevin Murphy, Lon Hatton, Peter Sullivan
Claimant Lawyers(s): Jonathan A. Korte
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Meaghan VerGow
Arbitrator(s): Will Murphy, Lori Lovgren, Stephen Robert Tiernay
Hearing Site: Boca Raton, FL
22-0259006/11/2024Claimant(s): Manuel Melendez
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Stuart K. Furman
Hearing Site: Boca Raton, FL
22-0189006/07/2024Claimant(s): The Revocable Trust of Declan P. Doogan
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Goldman Sachs & Co. LLC
Respondent Lawyers(s): Brian A. Briz
Arbitrator(s): Peter Shapiro, Lisa Jane Austein, Jan Duda Krafczek
Hearing Site: Boca Raton, FL
Checkmark Icon$0
23-0139606/05/2024Claimant(s): Charles L. Roberts Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
23-0081406/03/2024Claimant(s): Sherry Lautares
Claimant Lawyers(s): Charles O'Rourke
Respondent(s): Morgan Stanley, Mark Rosenberg
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Gerald H. Grayson, Sonja Shuford, Alisa Matire
Hearing Site: Boca Raton, FL
Checkmark Icon$0
23-0211805/28/2024Claimant(s): NewBridge Securities Corp.
Claimant Lawyers(s): Gregg J Breitbart
Respondent(s): Gaetano Magarelli
Respondent Lawyers(s): Gaetano Magarelli
Arbitrator(s): John B. Sochacki
Hearing Site: Boca Raton, FL
22-0264905/24/2024Claimant(s): Howard Sproat
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): William Blair & Company L.L.C.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Michael Lau, Paul J. Burkhart, Scott Manker
Hearing Site: Boca Raton, FL
Checkmark IconExpungement

1,334 Results

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