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FINRA Awards for Boca Raton, FL

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Displaying 931-940 out of 1,334 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0357903/08/2013Claimant(s): Barbara LaVerde, Ronald LaVerde, Barbara A. LaVerda Rev. Trust, Ronald J. Laverde Rev. Trust
Claimant Lawyers(s): Scott Konopka
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Thomas Barnwell
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Marc T. Danon, Sydney E. Blum, Jeanne Charles Wood
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
11-0311103/06/2013Claimant(s): Nancy Thomas, Nancy K. Thomas Revocable Trust U/A/D 97
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Lawrence Goldberg, Donald Theodore Ryce, Harris Gally
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
12-0283002/08/2013Claimant(s): Oyster Reef International
Claimant Lawyers(s): Alejandro N. Tagliero
Respondent(s): Merrill Lynch Pierce Fenner & Smith
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Martin M. Van Luven
Hearing Site: Boca Raton, FL
Checkmark Icon$0
12-0056902/06/2013Claimant(s): Richard Fisher
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Steven Gerard Goerke, Marc T. Danon, Richard S. Herman
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
12-0099602/06/2013Claimant(s): Gillman Family Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Wachovia Securities, Shirley Polidori
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Steven Ira Weinberger
Hearing Site: Boca Raton, FL
Checkmark Icon$96,799
11-0382701/18/2013Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Gerald T. Rohrer
Respondent(s): Donald Novell
Respondent Lawyers(s): Donald F. Novell
Arbitrator(s): Randy R. Freedman
Hearing Site: Boca Raton, FL
12-0076801/18/2013Claimant(s): Lillian D'Elia
Claimant Lawyers(s): Lillian D'Elia
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Randy R. Freedman
Hearing Site: Boca Raton, FL
Checkmark Icon$0
11-0068701/16/2013Claimant(s): Kenneth M. Mahoney & Linda Mahoney, TIC
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Marc S. Piven, Myron E. Levenson, Robert H. Loevin
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
12-0146501/07/2013Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Anthony Fisher
Respondent Lawyers(s): Anthony John Fisher
Arbitrator(s): Stan West, Robert S. Natiss, Peter A. Cartwright
Hearing Site: Boca Raton, FL
11-0133501/07/2013Claimant(s): Catherine Cox, William Cox, William E. Cox Irrevocable Trust
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Mauricio Arcadier, Robert J. Buchner, Scott Louis Fishman
Hearing Site: Boca Raton, FL
Checkmark IconExpungement

1,334 Results

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