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FINRA Awards for William B. Young

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Displaying 31-40 out of 65 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0207308/10/2012Claimant(s): Patricia V. Stein IRA, Tracy M. Stein IRA, Tracy Mitchell Stein Trst, P. Stein Ttee, T. Stein Ttee
Claimant Lawyers(s): William B. Young
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Robert L. Hudson, David P. Slater, Edmund Herbert Hecht
Hearing Site: Orlando, FL
Checkmark IconExpungement
11-0269507/20/2012Claimant(s): Donald P. Lenio, IRA
Claimant Lawyers(s): William B. Young
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Susan Macfarlane
Arbitrator(s): David M. Levine
Hearing Site: Orlando, FL
Checkmark IconExpungement
11-0276803/29/2012Claimant(s): Valerie F. Shipman, IRA
Claimant Lawyers(s): William B. Young
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): John P. Cullem
Hearing Site: Orlando, FL
Checkmark Icon$0
11-0125102/28/2012Claimant(s): Gilbert H. Quintana, IRA, Roth IRA, Jerry H. Quintana IRA, Jose Biterbo & Zulema Quintana Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Steven Meyrich
Hearing Site: Albuquerque, NM
Checkmark IconExpungement
11-0318502/22/2012Claimant(s): Irene Gilmore
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
Checkmark Icon$425
10-0567301/10/2012Claimant(s): Carole G. Begley IRA, Emmette R. Begley IRA, Emmette R. Begley SEP-IRA
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael Gless
Arbitrator(s): Stephen H. Biller
Hearing Site: Nashville, TN
Checkmark IconExpungement
10-0444509/02/2011Claimant(s): Evanna Ondeck Cohen Rev Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): John R. Pepe, Benjamin L. Abramowitz, Harvey Alan Blicksilver
Hearing Site: Orlando, FL
Checkmark IconStipulated Award and Expungement
09-0649606/17/2011Claimant(s): Metal Finishing Association of S. CA
Claimant Lawyers(s): William B. Young
Respondent(s): Wachovia Securities, Evergreen Investment Services.
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Robert D. Sussin, George L. Tindall, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
Checkmark IconStipulated Award and Expungement
10-0035705/05/2011Claimant(s): Dennis W. Tibbs, IRA, QRP, Patricia A. Tibbs, Dennis W. and Patricia A. Tibbs, Jt Ten
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Brian E. Bro, Martin Samuel Altimore
Hearing Site: Houston, TX
Checkmark IconExpungement
08-0284708/31/2010Claimant(s): Sharon M. Deming IRA, Deming Family Living Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Portland, OR
Checkmark Icon$0

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