FINRA Awards for Prudential Equity Group

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 31-40 out of 80 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-03060	05/14/2019	Claimant(s): James McLellan Claimant Lawyers(s): Frances Menzer Respondent(s): Prudential Equity Group Respondent Lawyers(s): Alan S. Brodherson Arbitrator(s): Marilyn R. Lewis Hearing Site: Denver, CO
18-02531	04/05/2019	Claimant(s): David Garman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Prudential Equity Group, Wall Street Access Respondent Lawyers(s): Alan S. Brodherson, Denis Patrick Kelleher Arbitrator(s): Larry Evert Carlson Hearing Site: Indianapolis, IN
17-02461	03/08/2019	Claimant(s): Bradley Glasman Claimant Lawyers(s): Michael Bessette Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services Respondent Lawyers(s): Alan S. Brodherson, Geoffrey S. Beckham Arbitrator(s): Arocles Aguilar Hearing Site: San Francisco, CA
18-00774	02/22/2019	Claimant(s): Kevin Koch Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Prudential Equity Group, Citigroup Global Markets. Respondent Lawyers(s): David I. Hantman, Robin H. Rome Arbitrator(s): Edward W. Morris Hearing Site: New York, NY
18-00713	02/14/2019	Claimant(s): Mark Rosenberg Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Prudential Equity Group, CIBC World Markets Corp. Respondent Lawyers(s): Alan S. Brodherson, Elizabeth Rose Aylett Arbitrator(s): Harvey R. Linder Hearing Site: Atlanta, GA
18-00531	01/25/2019	Claimant(s): William Glassman Claimant Lawyers(s): Timothy C. Lynch Respondent(s): Prudential Equity Group Respondent Lawyers(s): Alan S. Brodherson Arbitrator(s): Laura A. Kaster Hearing Site: Philadelphia, PA		Expungement
18-00578	12/28/2018	Claimant(s): Shawn Richardson Claimant Lawyers(s): Michael Bessette Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services Respondent Lawyers(s): Alan S. Brodherson, Geoffrey S. Beckham Arbitrator(s): Peter H. Daly Hearing Site: Seattle, WA
18-00373	11/01/2018	Claimant(s): Gary Davis Claimant Lawyers(s): Michael Bessette Respondent(s): Prudential Equity Group Respondent Lawyers(s): Alan S. Brodherson Arbitrator(s): Samuel L. McClaren Hearing Site: Denver, CO
17-01650	10/25/2018	Claimant(s): Stephen Whitman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Prudential Equity Group, Morgan Stanley Respondent Lawyers(s): Alan S. Brodherson, Jeffrey S. Jacobi Arbitrator(s): Michael E. Rohde Hearing Site: San Diego, CA
18-01087	10/19/2018	Claimant(s): Joe Cotten Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Prudential Equity Group Respondent Lawyers(s): Alan S. Brodherson Arbitrator(s): G. Maynard Green Hearing Site: Dallas, TX