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FINRA Awards for William P. Thornton

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Displaying 21-25 out of 25 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0020108/19/2013Claimant(s): J. Lee
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Capitol Securities Management., Directed Services LLC, ING USA Annuity and Life Inssurance Co.
Respondent Lawyers(s): Janet K. DeCosta, William P. Thornton
Arbitrator(s): Stuart H. Dunn, Leon Henderson, Peter B. Vaden
Hearing Site: Richmond, VA
10-0404703/27/2013Claimant(s): Karen Lamoreaux, Karen Lamoreaux IRA, The Socal Air. Profit Sharing Plan, The Lamoreaux Trust
Claimant Lawyers(s): David Liebrader
Respondent(s): Eric Cannon, Gitty Rahbar, Kimberly Michel, MML Investors Services
Respondent Lawyers(s): Eric Christopher Cannon, Louis H. Castoria, Sylvia M. Scott, William P. Thornton
Arbitrator(s): Richard J. Stall, Eugene A. Taylor, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
Checkmark Icon$1,137,920
11-0194311/20/2012Claimant(s): William Otto, William L. Otto Irrevocable Lifetime Tru
Claimant Lawyers(s): Theodore M. Davis
Respondent(s): Joseph Gill, Lore Gordon, MML Investors Services
Respondent Lawyers(s): Barry R. Temkin, Mathew Tracy, William P. Thornton
Arbitrator(s): Steven David Leader, Leslie Ruth Nydick, Edwin H. Bennett
Hearing Site: New York, NY
Checkmark IconExpungement
10-0308204/20/2012Claimant(s): Estate of Joanne Liona Murray
Claimant Lawyers(s): Wayne T. Murray
Respondent(s): Gary Whittier, Roy Caso, MML Investors Services, Mass Mutual Financial Group
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Paul L. Matecki, Charles W. Lavender, Karl A. Vogeler
Hearing Site: Tampa, FL
Checkmark Icon$0
11-0141701/04/2012Claimant(s): Michael Weigand, Richard LaValley
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Garry Payne, New England Securities, Signator Investors., Lincoln Financial Advisors Corporation, MML Investors Services
Respondent Lawyers(s): Janene M. Marasciullo, Linda H. Joseph, Michael G. Donovan, William P. Thornton
Arbitrator(s): Christopher C. Willett, Allan H. Kaminsky, Kenneth Dymond
Hearing Site: Syracuse, NY
Checkmark Icon$0

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