Potomac Analytics' Logo

FINRA Awards for Craig Edward Stein

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

Filter by:

Sort by:

Displaying 11-20 out of 23 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0178312/20/2021Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Craig Stein
Respondent(s): Jeffrey Williams
Respondent Lawyers(s): John A. Hubbard
Arbitrator(s): James M. Scutti, Marilyn Barbara Nader, Virginia Lee Perez-Berry
Hearing Site: Boca Raton, FL
20-0091612/14/2021Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Craig Stein
Respondent(s): David Cohen
Respondent Lawyers(s): Jeffrey L. Cox
Arbitrator(s): Robert G. Geeseman, Isadora Velazquez-Rivas, Bradley Scott Goldfarb
Hearing Site: Boca Raton, FL
19-0330912/17/2020Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Craig Stein
Respondent(s): James Steigerwald
Respondent Lawyers(s): Richard L. Richards
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
18-0185107/08/2019Claimant(s): James Springer
Claimant Lawyers(s): Craig Stein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Richard J. Fuller, Sharon Lee Chernin, James Mathieu
Hearing Site: Tampa, FL
18-0003605/23/2019Claimant(s): Dawn Bloom
Claimant Lawyers(s): Craig Stein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carol A. Field
Arbitrator(s): Jacquelyn M. Shannon, Robert L. Jolley, Brian Michael Kane
Hearing Site: Jacksonville, FL
18-0152101/15/2019Claimant(s): Kirk Gravelle
Claimant Lawyers(s): Craig Stein
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Richard S. Zaifert, Susan Dawson, Ralph Kennedy Frasier
Hearing Site: Jacksonville, FL
18-0090911/07/2018Claimant(s): Michele Kief
Claimant Lawyers(s): Craig Stein
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Robert B. Kane, Kimberly A. Gilmour, Joseph Michael Librie
Hearing Site: Boca Raton, FL
18-0015105/16/2018Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Craig Stein
Respondent(s): Wayne Babst
Respondent Lawyers(s): Wayne Stephen Babst
Arbitrator(s): Muriel Desloovere
Hearing Site: Tampa, FL
15-0331808/29/2017Claimant(s): Thomas Moran
Claimant Lawyers(s): Craig Stein
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Bruce K. Isenberg, Donald Theodore Ryce, Jay Eng
Hearing Site: Boca Raton, FL
13-0342312/23/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Craig Stein
Respondent(s): Gustavo Caballero
Respondent Lawyers(s): W. Steven Adams
Arbitrator(s): Charles Hoffman, Dorota J. Trzeciecka, Sophia Ohanessian
Hearing Site: Miami, FL

23 Results

Display: