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FINRA Awards

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Displaying 19,821-19,830 out of 22,017 results
Case Number Award Date Case Summary Customer Case? Amount Granted
06-0106307/10/2009Claimant(s): Louis Rosenwein, Meredith Rosenwein, TTEE f/b/o Robert
Claimant Lawyers(s): R. Jeffrey More
Respondent(s): Ralph Esposito, Janney Montgomery Scott LLC
Respondent Lawyers(s): Lionel G. Hest
Arbitrator(s): Orestes J. Mihaly, Paul Weinberg, James M Coakley
Hearing Site: New York, NY
Checkmark IconStipulated Award and Expungement
08-0018007/10/2009Claimant(s): Canale Funeral Directors.
Claimant Lawyers(s): Tucker Veach
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): M. Ruthie Hagan
Arbitrator(s): Linda Cox Allen, Ellen J. Abrams, Todd Edward Phillips
Hearing Site: Memphis, TN
Checkmark Icon$600
08-0382007/10/2009Claimant(s): Yui Law
Claimant Lawyers(s): Yui W Law
Respondent(s): Wells Fargo Investments, Elliot Chang
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Ralph B. Perry
Hearing Site: Los Angeles, CA
Checkmark Icon$0
09-0057707/10/2009Claimant(s): Carlos Casas
Claimant Lawyers(s): Carlos E Casas
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Joann Peters
Hearing Site: Dallas, TX
Checkmark Icon$213
08-0103207/09/2009Claimant(s): Jan Stahl
Claimant Lawyers(s): Jan Stahl
Respondent(s): Ralph Johnson
Respondent Lawyers(s): Ralph Johnson
Arbitrator(s): Saul Scheier
Hearing Site: New York, NY
Checkmark Icon$15,500
08-0156507/09/2009Claimant(s): Michael Greco, Salvatore Greco, Santo Greco, Cusano's Italian Bakery.
Claimant Lawyers(s): Walter J. Mathews, Walton S. Kinsey
Respondent(s): Empire Financial Group.
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): Stan West, Richard J. Kaplan, Dennis J. Levin
Hearing Site: Boca Raton, FL
Checkmark Icon$90,086
08-0395907/09/2009Claimant(s): Harold Delurey
Claimant Lawyers(s): Harold M. Delurey
Respondent(s): David Costa, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katherine M. McGrail
Arbitrator(s): Howard L. Sobel
Hearing Site: Albany, NY
Checkmark Icon$0
09-0009707/09/2009Claimant(s): Stephen Kraljic
Claimant Lawyers(s): Samuel T. Brannan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Robert S. Zuckerman
Hearing Site: Charlotte, NC
Checkmark Icon$0
09-0027307/09/2009Claimant(s): Gary N. and Nancy M. Polasek
Claimant Lawyers(s): Gary N. Polasek
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
Checkmark Icon$307
08-0385207/08/2009Claimant(s): Peter Dunne
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Aura Financial Services.
Respondent Lawyers(s): Leon Baer Borstein
Arbitrator(s): Richard W. Cutler, James S. Goddard, Gerald H. Grayson
Hearing Site: New York, NY

22,017 Results

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