Potomac Analytics' Logo

FINRA Awards

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

Filter by:

Sort by:

Displaying 19,181-19,190 out of 22,017 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0178112/31/2009Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Jeffrey S. Hood
Respondent(s): Charles Ray
Respondent Lawyers(s): Charles Ray
Arbitrator(s): Kenneth I. Rosenblum
Hearing Site: Los Angeles, CA
08-0179212/31/2009Claimant(s): Barbara Tichner
Claimant Lawyers(s): Ruthann G. Niosi
Respondent(s): Barnett Chepenik, Jason Chepenik, Chepenik Financial, Lincoln Financial Advisors Corp., NRP Financial.
Respondent Lawyers(s): Luigi Spadafora, Peter J. Biging, Sam Edgerton
Arbitrator(s): Jack Friedman, William E.S. Browning, Ira M. Ross
Hearing Site: New York, NY
Checkmark IconSettlement
08-0285412/31/2009Claimant(s): Ava Raphael, Bradley Raphael, Brian Raphael, Brooke Raphael, Irving Raphael
Claimant Lawyers(s): James L. Sonneborn
Respondent(s): Bruce Sears, Heather Hunt-Ruddy, Joseph O'Connor, RBC Dain Rauscher
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): Vincent Micciche, Kathleen Hoey Gorr, Edmund Viele
Hearing Site: Rochester, NY
Checkmark Icon$50,000
08-0492412/31/2009Claimant(s): Duckkyu Chang, Kee Chang, Duckkyu Chang TTEE Cumberland Pathology
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): David Smith, Thomas Livingston, Timothy McGinn, William Lex, McGinn, Smith & Co..
Respondent Lawyers(s): David C. Franceski
Arbitrator(s): Edward Greer, Thomas Benjamin Salzer, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
Checkmark Icon$805,110
09-0179212/31/2009Claimant(s): Anne Moman, Guy Moman
Claimant Lawyers(s): Charles A McCallum
Respondent(s): Morgan Keegan & Company., William Hutchison
Respondent Lawyers(s): Stephen A. Rowe
Arbitrator(s): Ruth C. Adrian, Edward Blumstein, Barry Rabinowitz
Hearing Site: Birmingham, AL
Checkmark Icon$44,955
09-0280712/31/2009Claimant(s): James Crowley, Nancy Crowley
Claimant Lawyers(s): Nancy Corinne Crowley, Patrick Crowley
Respondent(s): Chase Investment Services Corp., Jamie Hills
Respondent Lawyers(s): Sheila E. Carson
Arbitrator(s): William P. Thorpe
Hearing Site: Detroit, MI
Checkmark Icon$21,990
06-0500212/30/2009Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): Jeffrey Myers
Respondent Lawyers(s): Jeffrey Myers
Arbitrator(s): M. Eileen Dorsey, Sandra D. Deters, Matthew R. Salamon
Hearing Site: St. Louis, MO
08-0045212/30/2009Claimant(s): Paige Sherman
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Richard L. Rubin, Laura Effel, Robert M. Lubin
Hearing Site: San Francisco, CA
08-0435212/30/2009Claimant(s): Sidney Lieberman IRA
Claimant Lawyers(s): Sara F. Lieberman
Respondent(s): Lyle Flaugher, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katherine M. McGrail
Arbitrator(s): Robert I. Adler, Bernard A. Friedman, Irene C. Warshauer
Hearing Site: New York, NY
Checkmark Icon$0
09-0074212/30/2009Claimant(s): Barbara Russo, Daniel Russo
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Wachovia Securities, Michael Greene
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): Larry Kars, Arthur Best, Sharon A. McCloskey
Hearing Site: New York, NY
Checkmark Icon$0

22,017 Results

Display: