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FINRA Awards

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Displaying 18,941-18,950 out of 22,017 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0574703/11/2010Claimant(s): CIBC World Markets Corp.
Claimant Lawyers(s): Joseph J Sullivan
Respondent(s): Juan Bermudez
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
08-0433003/11/2010Claimant(s): Henrietta Silverman
Claimant Lawyers(s): Jeffrey W. Kleiner
Respondent(s): Barry Richter, Stifel, Nicolaus & Co.., Leonard Weintraub, Sheila Richter
Respondent Lawyers(s): Joseph F. Generelli, Leonard Weintraub
Arbitrator(s): Robert L. Nisely, Charles S. Guggenheimer, Charles L. Henderson
Hearing Site: New York, NY
Checkmark IconExpungement
08-0326403/11/2010Claimant(s): Adam Frank, Isaac Frank, Laurence Frank, Adam Joel Frank IRA, Isaac Frank IRA, Laurence M. Frank IRA, Lois L. Frank, Lois L. Frank IRA
Claimant Lawyers(s): James K. Langdon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Howard S. Levine, Frank W. Virgin, Andy W. Morgan
Hearing Site: Atlanta, GA
Checkmark Icon$0
08-0210103/10/2010Claimant(s): Michael Keleher
Claimant Lawyers(s): Saul Roffe
Respondent(s): Christian Wagner, Richard Patrick, ING Financial Partners.
Respondent Lawyers(s): Luigi Spadafora, Paula D. Shaffner, Richard Vincent Patrick
Arbitrator(s): Edward L. Levine, Edith M. Novack, Dawn Suzanne Simon Talbot
Hearing Site: Newark, NJ
08-0407203/10/2010Claimant(s): Commonwealth Financial Network
Claimant Lawyers(s): Michael G. Donovan
Respondent(s): David Vorbeck, F. Dunnuck
Respondent Lawyers(s): Paul D. Vink
Arbitrator(s): Peter L. Pointer, Patrick J. Burley, Jeffrey Richard Chiappetta
Hearing Site: Indianapolis, IN
08-0394703/10/2010Claimant(s): Sturla Terry Canale Living Trust
Claimant Lawyers(s): Jan Douglas Atlas
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John-David H. Thomas
Arbitrator(s): John P. Cullem, Howard L. Hill, Donald R. Smith
Hearing Site: Tampa, FL
Checkmark Icon$50,000
09-0000303/10/2010Claimant(s): Colette McDonald
Claimant Lawyers(s): Adolph D. Seltzer
Respondent(s): Daniel Devaney, Samuel A. Ramirez & Company.
Respondent Lawyers(s): Meredith Jowers Lees
Arbitrator(s): Robert Pincus, Robert I. Adler, Roy L. Weiss
Hearing Site: New York, NY
Checkmark Icon$53,000
09-0030303/10/2010Claimant(s): Kathleen S. Lahare, Paul J. Lahare
Claimant Lawyers(s): Jessica M. Vasquez
Respondent(s): Robert McCullough, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Simeon B. Reimonenq, Carolyn L. Witherspoon, Robert A. Wojcik
Hearing Site: New Orleans, LA
Checkmark Icon$0
09-0386903/10/2010Claimant(s): Lorraine Barchinger
Claimant Lawyers(s): Lorraine T. Barchinger
Respondent(s): John Foltz, William Herf, B. C. Ziegler And Company
Respondent Lawyers(s): Nicole Goodwin
Arbitrator(s): Eugene W. Bronski
Hearing Site: Phoenix, AZ
Checkmark Icon$0
07-0358303/09/2010Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): Brad Nussbaum
Respondent Lawyers(s): Brad N. Nussbaum
Arbitrator(s): Harry D. Frisch
Hearing Site: Newark, NJ

22,017 Results

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