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FINRA Awards

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Displaying 19,831-19,840 out of 22,017 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0103507/08/2009Claimant(s): Lanfear Capital Advisers
Claimant Lawyers(s): Paul B. Nesbitt
Respondent(s): Rani Jarkas, Global Crown Capital, Llc
Respondent Lawyers(s): David G. Finkelstein, Melvin K. Patterson
Arbitrator(s): Thomas C. McNally, Marvin G. Breen, Roberta R. Jeffrey
Hearing Site: San Francisco, CA
Checkmark Icon$1,688,000
09-0074107/08/2009Claimant(s): Edwin Goldstein
Claimant Lawyers(s): Samuel T. Brannan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Charles L. Prothero
Hearing Site: Newark, NJ
Checkmark Icon$17,779
08-0325007/08/2009Claimant(s): John F. Archer and Karin A. Archer JT
Claimant Lawyers(s): Richard H. Elliot
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Michael E. Rohde, Donald Vincent Enright, C. Sumpter Logan
Hearing Site: Dallas, TX
Checkmark Icon$0
08-0420607/08/2009Claimant(s): Marilyn Lea Brown
Claimant Lawyers(s): Marilyn Lea Brown
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Donald M. Macdonald
Hearing Site: Atlanta, GA
Checkmark Icon$0
09-0036707/08/2009Claimant(s): Alan Gelband Co. Def. Contr. Pension Pla
Claimant Lawyers(s): Alan Gelband
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Edward G. Toptani
Hearing Site: New York, NY
Checkmark Icon$213
08-0031907/06/2009Claimant(s): Christian Martin
Claimant Lawyers(s): Gregory Vidler
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Mark A. Nebrig
Arbitrator(s): Mary L. Merkle, Sandra J. Mullings, Richard Lee Mansdoerfer
Hearing Site: New York, NY
08-0423507/06/2009Claimant(s): Joseph Messina
Claimant Lawyers(s): Joseph Messina
Respondent(s): Tradestation Securities.
Respondent Lawyers(s): Steven M. Greenbaum
Arbitrator(s): Herbert Branitsky
Hearing Site: Boca Raton, FL
Checkmark Icon$0
07-0263507/02/2009Claimant(s): Wesley Rusch
Claimant Lawyers(s): Wesley A. Rusch
Respondent(s): Merriman Curhan Ford & Co.
Respondent Lawyers(s): Cathy L. Arias
Arbitrator(s): F. Conger Fawcett, Jonathan H. Krotinger, Sheldon Michaels
Hearing Site: San Francisco, CA
08-0086907/02/2009Claimant(s): D. Blevins
Claimant Lawyers(s): James H. Penick
Respondent(s): Charles White, SAL Financial Services. d/b/a Stern, Sterne Agee & Leech.
Respondent Lawyers(s): Latanishia Watters
Arbitrator(s): David B. Coates, J. Maxwell Williams, William Wright Willis
Hearing Site: Little Rock, AR
08-0253907/02/2009Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Schuler
Respondent Lawyers(s): Michael Schuler
Arbitrator(s): C. Gregory Ellison, Gregory R. Banasz, Jason William Gaarder
Hearing Site: Baltimore, MD

22,017 Results

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