Potomac Analytics' Logo

FINRA Awards for Chad Anthony Franks

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

Filter by:

Sort by:

Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0280511/11/2019Claimant(s): The Leonard and Gen Winton Trust
Claimant Lawyers(s): Robert G. Knaier
Respondent(s): Scottrade Inc., TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): James D. Knotter, Chad Anthony Franks, Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
Checkmark Icon$0
17-0276802/07/2019Claimant(s): Norman Lipson
Claimant Lawyers(s): Robert J Girard
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Doris V. Knotter, Thomas L. Marshall, Chad Anthony Franks
Hearing Site: San Diego, CA
Checkmark IconExpungement
11-0324705/07/2014Claimant(s): Bradford Underdahl
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): William J. Brack, Chad Anthony Franks
Hearing Site: San Diego, CA
12-0118104/03/2013Claimant(s): Nancy Brown, Nancy F. Brown Trust dated 7/24/1989
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Sagepoint Financial., John Venable
Respondent Lawyers(s): Justin Sacca, Thomas Fleming
Arbitrator(s): Jon C. Milliken, Sally G. Williams, Chad Anthony Franks
Hearing Site: San Diego, CA
Checkmark IconExpungement

4 Results

Display: