FINRA Awards for Boca Raton, FL

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Displaying 651-660 out of 1,334 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
16-03206	03/29/2017	Claimant(s): SII Investments. Claimant Lawyers(s): Scott A. Chernich Respondent(s): Chad Barancyk Respondent Lawyers(s): Chad Ryan Barancyk Arbitrator(s): Robert G. Geeseman Hearing Site: Boca Raton, FL
16-00553	03/27/2017	Claimant(s): Ilan Preis Claimant Lawyers(s): Darlene R. Gimble Respondent(s): Sagepoint Financial., American General Securities Incorporated Respondent Lawyers(s): Gregory M. Curley Arbitrator(s): Charles Hoffman, Robert H. Loevin, John Roth Roberts Hearing Site: Boca Raton, FL
16-02745	03/21/2017	Claimant(s): Bo Young Oh Claimant Lawyers(s): Bo Young Oh Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Alex J. Sabo Arbitrator(s): Will Murphy Hearing Site: Boca Raton, FL		$0
16-01446	03/14/2017	Claimant(s): Michael Puck Claimant Lawyers(s): Michael Hill Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Michael A. Gross Arbitrator(s): George G. Kurschner Hearing Site: Boca Raton, FL
16-02560	03/02/2017	Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Cory Zadanosky Respondent(s): William Fritz Respondent Lawyers(s): Marc S. Dobin Arbitrator(s): Kimberly A. Gilmour Hearing Site: Boca Raton, FL
15-03075	02/21/2017	Claimant(s): Carole Stanley, Tony Stanley Claimant Lawyers(s): Russell Forkey Respondent(s): Carmine Capone, Jason Figueroa, Paul Mante, The GMS Group Respondent Lawyers(s): David W. Schmidt, Jason Lyn Figueroa Arbitrator(s): Lawrence M. Green, Kimberly A. Gilmour, Toby Bartosh Hearing Site: Boca Raton, FL		Expungement
15-03419	02/16/2017	Claimant(s): Jose Patino Claimant Lawyers(s): Joseph S. Van de Bogart Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Steven A. Siegel Arbitrator(s): Barry David Thorpe, Mark A Bilawsky, Bernardo Hevia Hearing Site: Boca Raton, FL
16-02688	01/27/2017	Claimant(s): M. Korbin Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): BMO Harris Financial Advisors. Respondent Lawyers(s): Maria L. Kreiter Arbitrator(s): Paul J. Burkhart Hearing Site: Boca Raton, FL		Dismissed by Rule 12504
16-02346	01/18/2017	Claimant(s): Verna Munden Claimant Lawyers(s): Robert J. Slotkin Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Patricia E. Cowart Arbitrator(s): Elena G. Rodriguez Hearing Site: Boca Raton, FL		Dismissed by Rule 12504
16-01549	01/17/2017	Claimant(s): Dorothy H. Thompson Rev Trst UAD 1/15/91 Claimant Lawyers(s): Adam T. Rabin Respondent(s): FMSBONDS, INC Respondent Lawyers(s): Sydney A. Marks Arbitrator(s): Will Murphy, Thomas W. Allen, Victor Bernard Gent Hearing Site: Boca Raton, FL		Stipulated Award