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FINRA Awards for National Planning Corporation

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Displaying 31-40 out of 48 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0318001/12/2018Claimant(s): Diane Helbling, Heather Abdullah-Robinson
Claimant Lawyers(s): Diane Helbling
Respondent(s): Brian Hentz, Dennis Kinzer, Morgan Stanley, Jeffrey Graunke, Pershing LLC, National Planning Corporation
Respondent Lawyers(s): Benjamin J. Biard, Christopher M. Sacco, Jane L. Myers
Arbitrator(s): Ronald P. Wertheim, Patrick R. Westerkamp, Leo J. Karwejna
Hearing Site: Philadelphia, PA
Checkmark Icon$0
17-0036608/07/2017Claimant(s): National Planning Corporation
Claimant Lawyers(s): Kate E DiGeronimo
Respondent(s): Robert Grossman
Respondent Lawyers(s): Robert Keith Grossman
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
16-0334107/03/2017Claimant(s): Steven Case
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Planning Corporation, Voya Financial Advisors.
Respondent Lawyers(s): Mark Sides, Scott R. Forbush
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
15-0157906/30/2017Claimant(s): Antoinette Hawkins, Jack Hawkins
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Nancy Biddle, National Planning Corporation
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Roger W. Van Deusen, Ian S. Greig, John T. Luce
Hearing Site: Tampa, FL
Checkmark IconExpungement
16-0018005/24/2017Claimant(s): Marlene Lane
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Susan L. Walker, John L. Krauss, William Peter Kealey
Hearing Site: Indianapolis, IN
Checkmark IconExpungement
16-0276902/27/2017Claimant(s): Sean Covi
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Samuel L. McClaren
Hearing Site: Denver, CO
16-0114212/22/2016Claimant(s): Brad Stark
Claimant Lawyers(s): Chad Weaver
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Norman Cousins Sasamori, Milton N. Gross, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
13-0337402/13/2015Claimant(s): Richard Felter, Rosemary Felter Trust
Claimant Lawyers(s): Gail Boliver
Respondent(s): Joseph Russo, National Planning Corporation
Respondent Lawyers(s): Jesse Linebaugh
Arbitrator(s): John J. Miller, Alan B. Fender, Thomas J. Duff
Hearing Site: Des Moines, IA
Checkmark Icon$1,220,600
13-0280111/18/2014Claimant(s): Carolyn Erskine
Claimant Lawyers(s): Christopher C. Cooke
Respondent(s): LPL Financial LLC, Michael Allard, National Planning Corporation
Respondent Lawyers(s): Jon D. Kaplon, Louie H. Castoria, Michael T. Regan
Arbitrator(s): William Ziering, Thomas J. LoSavio, Kevin C. Coleman
Hearing Site: San Francisco, CA
Checkmark IconDismissed by Rule 12206
12-0049205/29/2014Claimant(s): Bobb Meckenstock
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): James Livingston, Scott Romine, National Planning Corporation
Respondent Lawyers(s): Ross A. Anderson
Arbitrator(s): Thomas B. Phillips, James A. Hayes, Van R. Oliver
Hearing Site: Wichita, KS

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