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FINRA Awards for Houston, TX

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Displaying 251-260 out of 640 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0069710/19/2018Claimant(s): Michael Sullivan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons., Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Frank M. Romano
Hearing Site: Houston, TX
17-0075610/02/2018Claimant(s): David Morin
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Windsor Street Capital
Respondent Lawyers(s): John Stalanski, CCO
Arbitrator(s): R. Lee Britton Jr., Montie G. Grimes, Jonathan Charles Day
Hearing Site: Houston, TX
Checkmark Icon$287,186
18-0052009/27/2018Claimant(s): Iain Sharpe
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
18-0154309/24/2018Claimant(s): John Carolyn
Claimant Lawyers(s): Alise Johnson Henry
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
18-0212209/21/2018Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Joseph A. Cialone
Respondent(s): Phillip Schreiner
Respondent Lawyers(s): Phillip Albert Schreiner
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
17-0257909/05/2018Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Christopher Bingham
Respondent Lawyers(s): Jeremy Sloan
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
17-0193308/31/2018Claimant(s): Applied Medical Research Inc.
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): USAA Financial Advisors.
Respondent Lawyers(s): Theodre C. Schultz
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
Checkmark Icon$0
18-0111108/30/2018Claimant(s): Michael Rudelson
Claimant Lawyers(s): Cynthia Moulton
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Lydia R. Zaidman
Arbitrator(s): Jeff Kilgore
Hearing Site: Houston, TX
18-0052208/30/2018Claimant(s): Edwin B. and Ellen L. Smith Irrevocable
Claimant Lawyers(s): Stephen Smith
Respondent(s): James Wheaton, Krishna Rani Jeffries, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Frank M. Romano
Hearing Site: Houston, TX
Checkmark Icon$0
17-0125708/22/2018Claimant(s): Raul Mendez
Claimant Lawyers(s): W. Fulton Broemer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): R. Lee Britton Jr.
Hearing Site: Houston, TX

640 Results

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