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FINRA Awards

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Displaying 20,161-20,170 out of 22,017 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0078903/27/2009Claimant(s): Lea Georgas
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): George Terzakis, Morgan Stanley & Co.
Respondent Lawyers(s): Daniel Derechin, George D. Terzakis
Arbitrator(s): Alan S. Farnell
Hearing Site: Chicago, IL
Checkmark Icon$7,063
08-0280803/27/2009Claimant(s): Est. of Margaret Oswald by Stan Oswald
Claimant Lawyers(s): Stan Cohen
Respondent(s): Edward Jones
Respondent Lawyers(s): Kimber L. Monroe
Arbitrator(s): James A. Hayes
Hearing Site: Omaha, NE
Checkmark Icon$5,648
08-0109903/27/2009Claimant(s): Donald Demmy
Claimant Lawyers(s): Jeffrey J. Scott
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): John V. McDermott
Arbitrator(s): Samuel E. Wing, Gerald K. Moore, Mary C. Davis
Hearing Site: Denver, CO
Checkmark Icon$0
08-0299903/27/2009Claimant(s): Viktor Kilchyk
Claimant Lawyers(s): Viktor Kilchyk
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): F. Wesley Bowers
Hearing Site: Indianapolis, IN
Checkmark Icon$325
07-0272603/26/2009Claimant(s): Ridge Clearing & Outsourcing Solutions,
Claimant Lawyers(s): Howard Schiffman
Respondent(s): Arjent Ltd., Arjent Services LLC, Arjent Limited
Respondent Lawyers(s): Andrew Goodman
Arbitrator(s): Donald J. Rasweiler, Burton M. Fendelman, Carole R. Bernstein
Hearing Site: New York, NY
07-0302303/26/2009Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Brennan
Respondent Lawyers(s): Robert J. Benbenek
Arbitrator(s): Thomas J. McAllister, Jerry M. Deters, Heath O. Lauseng
Hearing Site: St. Louis, MO
08-0118103/26/2009Claimant(s): Naomi Britton
Claimant Lawyers(s): Burton M. Bentley
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin M. Choi
Arbitrator(s): Gary L. Freeman, Marc Kalish, Amy L. Lieberman
Hearing Site: Phoenix, AZ
08-0016003/26/2009Claimant(s): Michael Doran
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Ralph L. Halpern, David L. Hoffberg, Alan Kenneth Scheff
Hearing Site: Buffalo, NY
Checkmark IconStipulated Award
08-0024503/26/2009Claimant(s): Trinity Bui
Claimant Lawyers(s): Nelson M. Zern
Respondent(s): D. Weckstein & Co.
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Robert Czik, Andrew J. Gerber, Vincent Cannaliato
Hearing Site: New York, NY
Checkmark Icon$0
08-0128603/25/2009Claimant(s): Michael Pickholz
Claimant Lawyers(s): Robert Heim
Respondent(s): ThinkEquity Partners LLC
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Robert Pincus, Marilyn J. Salzman, J. Julie Jason
Hearing Site: New York, NY

22,017 Results

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