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FINRA Awards

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Displaying 20,111-20,120 out of 22,017 results
Case Number Award Date Case Summary Customer Case? Amount Granted
07-0352104/09/2009Claimant(s): Elisa M Corbo UTMA FL, Custodian, Elisa M Corbo, Frank C. Corbo, Frank C Corbo and Elisa M Corbo Trust
Claimant Lawyers(s): Sharon M. Cayelli
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Muriel Desloovere, Ian S. Greig, Nicholas G. Dukas
Hearing Site: Tampa, FL
Checkmark Icon$30,041
07-0357004/09/2009Claimant(s): Jerome Woods, Jr. and Dana Woods
Claimant Lawyers(s): H. Naill Falls
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shepherd D. Tate
Arbitrator(s): Robert J Warner, Susan A. Mathews, J. Maxwell Williams
Hearing Site: Memphis, TN
Checkmark Icon$950,600
08-0084004/09/2009Claimant(s): Susan Harris
Claimant Lawyers(s): Susan C. Harris
Respondent(s): Stanley Reynolds, American Financial Associates
Respondent Lawyers(s): Barry R. Temkin
Arbitrator(s): Mark S. Priver, James T. Capretz, Michael M. Perrigue
Hearing Site: Los Angeles, CA
Checkmark Icon$61,331
06-0375704/09/2009Claimant(s): Susan Christopher
Claimant Lawyers(s): Susan Emms Christopher
Respondent(s): Amy Larson, Morgan Stanley & Co.
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): David Paul Beauvais
Hearing Site: Los Angeles, CA
Checkmark Icon$0
08-0262804/09/2009Claimant(s): Harley Bjelland, Harley L. Bjelland, A Prof. Corp.
Claimant Lawyers(s): Harley L. Bjelland
Respondent(s): Kelly Dougherty, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Steven J. Feldman
Hearing Site: Los Angeles, CA
Checkmark Icon$0
08-0320304/09/2009Claimant(s): The Larry S. Liederman Living Trust
Claimant Lawyers(s): Larry S Liederman
Respondent(s): Foliofn Investments.
Respondent Lawyers(s): Michael J. Hogan
Arbitrator(s): Jeffrey M. Allen
Hearing Site: San Francisco, CA
Checkmark Icon$25
08-0252604/08/2009Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John McGuire
Respondent(s): Joanna Roland
Respondent Lawyers(s): Joanna Roland
Arbitrator(s): Joseph D. Cosgrove
Hearing Site: New York, NY
08-0410504/08/2009Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Raquel Terrigno
Respondent(s): Lenny Dykstra
Respondent Lawyers(s): Lenny Dykstra
Arbitrator(s): Sandra L. Malek
Hearing Site: Los Angeles, CA
Checkmark Icon$0
08-0221404/08/2009Claimant(s): Estate of Jack Perry
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Brian F. McDonough
Arbitrator(s): Denzil J. Klippel, Elizabeth Elster Granville, David A. Schwarz
Hearing Site: New York, NY
Checkmark Icon$137,500
05-0347504/08/2009Claimant(s): George Hamboussi
Claimant Lawyers(s): James A. Prestiano
Respondent(s): Ahmed Gadelkareem, Dominick Maiorano
Respondent Lawyers(s): Ahmed Gadelkareem, Dominick Maiorano
Arbitrator(s): Marc R. Green, Richard W. Cutler, Toby Susan DeSimone
Hearing Site: New York, NY
Checkmark Icon$0

22,017 Results

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