FINRA Awards for Prudential Equity Group

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

Displaying 41-50 out of 80 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-00034	09/13/2018	Claimant(s): Douglas Donnelly Claimant Lawyers(s): Michael Bessette Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services Respondent Lawyers(s): Alan S. Brodherson, Matthew P. Fischer Arbitrator(s): Helen Marinak Blohm Hearing Site: Seattle, WA
18-00632	08/24/2018	Claimant(s): Curtis Frazee Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Prudential Equity Group Respondent Lawyers(s): Alan S. Brodherson Arbitrator(s): Richard E. Lauziere Hearing Site: Baltimore, MD
17-03091	07/27/2018	Claimant(s): Frank Esposto Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Prudential Equity Group, Morgan Stanley Respondent Lawyers(s): Alan S. Brodherson, Andrew Gelfand Arbitrator(s): Louis P. Wagman Hearing Site: Philadelphia, PA
17-03089	07/17/2018	Claimant(s): Bernard Martin Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Prudential Equity Group Respondent Lawyers(s): Alan S. Brodherson Arbitrator(s): Michael H. DuBoff Hearing Site: Newark, NJ
17-03218	07/11/2018	Claimant(s): Brian Marzulli Claimant Lawyers(s): Alex R. Schmidt Respondent(s): Prudential Equity Group Respondent Lawyers(s): Alan S. Brodherson Arbitrator(s): Joseph H. Cerame Hearing Site: New York, NY
17-01624	03/16/2018	Claimant(s): Mary Wright Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Prudential Equity Group, Morgan Stanley, Morgan Stanley DW Inc. Respondent Lawyers(s): Alan S. Brodherson, Nicholas Y. Lin Arbitrator(s): Gregory G. Gocek Hearing Site: Denver, CO
17-00544	02/26/2018	Claimant(s): Anthony Bavedas Claimant Lawyers(s): Liam O'Brien Respondent(s): Prudential Equity Group, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services Respondent Lawyers(s): Alan S. Brodherson, Megan Christensen Arbitrator(s): Khadijah B. Matin, Zung T. Nguyen Hearing Site: New York, NY
17-01506	02/26/2018	Claimant(s): Jarrod Biebel Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services Respondent Lawyers(s): Alan S. Brodherson, Michael Naccarato Arbitrator(s): Philip J. Glick Hearing Site: Denver, CO
17-00545	12/21/2017	Claimant(s): Thomas McInerney Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc., Prudential Equity Group Respondent Lawyers(s): Alan S. Brodherson, Sean J. Coughlin Arbitrator(s): Thomas Benjamin Salzer Hearing Site: Philadelphia, PA
17-00304	10/12/2017	Claimant(s): Thomas Fields Claimant Lawyers(s): Dochtor Kennedy Respondent(s): A.G. Edwards & Sons., Wells Fargo Advisors, Prudential Equity Group Respondent Lawyers(s): Alan S. Brodherson, Deirdre Wolff Arbitrator(s): Neil Harvey Smith Hearing Site: Nashville, TN