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FINRA Awards

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Displaying 20,151-20,160 out of 22,017 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0372703/31/2009Claimant(s): Creative Wealth Inc.
Claimant Lawyers(s): Micheal P. Gilmore
Respondent(s): William Horbatuk
Respondent Lawyers(s): William John Horbatuk
Arbitrator(s): Joseph D. Cosgrove
Hearing Site: New York, NY
07-0259803/31/2009Claimant(s): David Chotkowski
Claimant Lawyers(s): David D. Chotkowski
Respondent(s): RBC Dain Rauscher.
Respondent Lawyers(s): Patrick J. Howley
Arbitrator(s): David Plimpton, Ruth-Ellen Post, Jacqueline Marie Pierre
Hearing Site: Augusta, ME
Checkmark IconStipulated Award
08-0139403/31/2009Claimant(s): Sarah Chang
Claimant Lawyers(s): Nehemiah C. Chang
Respondent(s): Tucker Braddock, AIG Retirement Advisors.
Respondent Lawyers(s): Gerry J. Kowalski
Arbitrator(s): Paul Greenberg, Robert H. Boorman, Michael Louis Gompertz
Hearing Site: Washington, DC
Checkmark Icon$0
08-0102903/30/2009Claimant(s): Karen Wines
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin Choi
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
08-0182903/30/2009Claimant(s): Armodios Papagianakis
Claimant Lawyers(s): Armodios N. Papagianakis
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Russel D. Francisco
Arbitrator(s): John B. Sprung
Hearing Site: New York, NY
08-0038803/30/2009Claimant(s): Gary Fitzgerald, Steve Fitzgerald
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): Nathaniel Charles Berkowitz, William Michael Samsel, Osei J Adoma
Hearing Site: San Francisco, CA
Checkmark Icon$267,711
08-0114803/30/2009Claimant(s): Gisela Selo
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Robert R. Meredith & Co..
Respondent Lawyers(s): Barbara J. Glenns
Arbitrator(s): Romaine L. Gardner, Hugh N. Fryer, Brian J. Neville
Hearing Site: New York, NY
Checkmark IconStipulated Award and Expungement
08-0213003/30/2009Claimant(s): Phazar Corp.
Claimant Lawyers(s): Robert L. Wright
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wes Holston
Arbitrator(s): Maryanne M. Esser, Raul Antonio Canez, Robert E. Behrendt
Hearing Site: Dallas, TX
Checkmark Icon$0
08-0171303/27/2009Claimant(s): Geoffrey Church
Claimant Lawyers(s): Dudley Muth
Respondent(s): James Alexander
Respondent Lawyers(s): James Alexander
Arbitrator(s): Richard J. Stall, George L. Tindall, Bryan L. Herrmann
Hearing Site: Los Angeles, CA
08-0372403/27/2009Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Brandon K. Hemley
Respondent(s): Sara Stabenow, Todd Stabenow
Respondent Lawyers(s): Sara A. Stabenow, Todd D Stabenow
Arbitrator(s): Kenneth J. Safran
Hearing Site: Detroit, MI
Checkmark Icon$0

22,017 Results

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