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FINRA Awards

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Displaying 19,921-19,930 out of 22,017 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0079106/08/2009Claimant(s): Michael Grimes, Financial Solutions and Associates.
Claimant Lawyers(s): Steve W. Koslovsky
Respondent(s): Barrington Capital Management.
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Julius Z. Frager, Mark E. Kessinger, David B. Lacks
Hearing Site: St. Louis, MO
08-0079206/08/2009Claimant(s): John Ingels
Claimant Lawyers(s): John A. Dienner
Respondent(s): Margaret Adams, DWS Scudder Distributors.
Respondent Lawyers(s): William F. Dugan
Arbitrator(s): John N. Chapin, Lawrence Tepper, Robert B. Schmidt
Hearing Site: Chicago, IL
08-0065906/08/2009Claimant(s): Joan Francis
Claimant Lawyers(s): Michael W. Sillyman
Respondent(s): Lisa Reed, Neuberger Berm
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Jerry H. Friedland, Richard E. Anderson, Merton E. Marks
Hearing Site: Phoenix, AZ
Checkmark Icon$0
08-0485106/08/2009Claimant(s): Charles Lieberman, Charles & Ruth Lieberman Trustee
Claimant Lawyers(s): Charles Lieberman
Respondent(s): USAA Management Company
Respondent Lawyers(s): Janis Reeder
Arbitrator(s): Melvin S. Feldman
Hearing Site: Los Angeles, CA
Checkmark Icon$0
09-0025606/08/2009Claimant(s): John Udovich
Claimant Lawyers(s): John J. Udovich
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Ann Pinciss Berman
Hearing Site: New York, NY
Checkmark Icon$0
08-0241406/05/2009Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Donald Dormody
Respondent Lawyers(s): Timothy J. Koral
Arbitrator(s): Peter L. Pointer, Steven L. Wasserman, Jeffrey V. Gery
Hearing Site: Cleveland, OH
08-0085806/05/2009Claimant(s): Alan Meinen, Jane Meinen, The Meinen Family Partnership, Ltd.
Claimant Lawyers(s): Melanie D. Bragg
Respondent(s): Shawn Goheen, American General Securities Incorporated
Respondent Lawyers(s): David K. Bissinger, Melinda Lucas Peevy
Arbitrator(s): Raymond C. Kerr, James E. Lane, Mark Edward Tredennick
Hearing Site: Houston, TX
Checkmark Icon$1,301,250
07-0221306/05/2009Claimant(s): Charles Poehlitz, Evelyn Jones, Grace Pipitone, Grover Drum, Estate of Augustus Pickens, Estate of Pauline Sweet
Claimant Lawyers(s): Frank J. Mastro, Richard J. Magid
Respondent(s): Uzo Chima, Suntrust Investment Services.
Respondent Lawyers(s): Jeffrey W. Willis, Uzo Chima
Arbitrator(s): John A. Gray, Joan M. Smith, Thomas J. Dolina
Hearing Site: Baltimore, MD
Checkmark Icon$0
08-0115406/05/2009Claimant(s): Richard Soshea
Claimant Lawyers(s): Tom Burke
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Michael R.E. Sanders, Charles M. Ackerman, David William Hickman
Hearing Site: Seattle, WA
Checkmark Icon$0
08-0321306/05/2009Claimant(s): Randal Brown, Randal B. Brown IRA Rollover, The Randal Brown Trust U/A DTD 01/25/199
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
Checkmark Icon$0

22,017 Results

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