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FINRA Awards for Houston, TX

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Displaying 421-430 out of 640 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0448103/15/2013Claimant(s): Frank Tsuru, Stephanie Tsuru
Claimant Lawyers(s): Scott D. Marrs
Respondent(s): Brodie Cobb, Colin Carter, Jerome Deren, Julie Helwig, Presidio Capital Advisors, Llc, Presidio Financial Partners, L.L.C., Presidio Wealth Management
Respondent Lawyers(s): Jennifer Evans Morris
Arbitrator(s): Linda Broocks, David G. Beerbower, Arno C. Schwethelm
Hearing Site: Houston, TX
Checkmark IconExpungement
11-0367503/14/2013Claimant(s): Jaime Melgarejo
Claimant Lawyers(s): Jaime Melgarejo
Respondent(s): Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
Checkmark Icon$0
12-0353903/12/2013Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): William Selvaggi
Respondent Lawyers(s): William Selvaggi
Arbitrator(s): William Edward Buck
Hearing Site: Houston, TX
10-0511503/01/2013Claimant(s): John Darnell
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Morgan Stanley
Respondent Lawyers(s): William Hohauser
Arbitrator(s): James R. Augustine, W. Merrill Glasgow, Stacey L. Barnes
Hearing Site: Houston, TX
Checkmark Icon$0
12-0208302/26/2013Claimant(s): Enrique Franco
Claimant Lawyers(s): John Vong
Respondent(s): AXA Distributors
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Michael S. Wilk
Hearing Site: Houston, TX
Checkmark Icon$0
11-0237502/20/2013Claimant(s): Dorothy Miller, Sam Miller, Dorothy J. Miller IRA, Dr. Sam S. Miller IRA, Ms. Dorothy J. and Dr. Sam S. Miller, Dr. Sam S. Miller Trust, Ms. Dorothy J. Miller Trust
Claimant Lawyers(s): Sylvan S. Lang
Respondent(s): Edwin Fulkerson, Charles Schwab & Co..
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Robert M. Birenbaum, Donald K. Eckhardt, Larry J. Craddock
Hearing Site: Houston, TX
Checkmark IconStipulated Award and Expungement
11-0402202/14/2013Claimant(s): Sunbelt Securities.
Claimant Lawyers(s): Robert M. Corn
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Glen Silverstein
Arbitrator(s): Timothy L. Andrews, John Michael Watson, Ross D. Friend
Hearing Site: Houston, TX
12-0029902/08/2013Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Fernando Castillo
Respondent Lawyers(s): Fernando Castillo
Arbitrator(s): Oren L. Connaway
Hearing Site: Houston, TX
09-0559601/17/2013Claimant(s): Lloyd Gillespie
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Oppenheimer & Co.., Joshua Barg, Aegis Capital Corp.
Respondent Lawyers(s): Andrew R. Harvin, Michael H. Ference, Ted Poretz
Arbitrator(s): Donald K. Eckhardt, James M. Alexander, Malcolm Edwin Whittaker
Hearing Site: Houston, TX
Checkmark Icon$1,074,600
12-0085901/17/2013Claimant(s): Anna Manzo, Francis Manzo, Francis M & Anna Marie Manzo Fam Trst, P. Manzo & W. Manzo Living Trust
Claimant Lawyers(s): Kristian P. Kraszewiski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Randall W Heinrich, Richard F. Dole, Michael L. Landrum
Hearing Site: Houston, TX
Checkmark IconExpungement

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