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FINRA Awards

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Displaying 20,991-21,000 out of 22,017 results
Case Number Award Date Case Summary Customer Case? Amount Granted
07-0144706/04/2008Claimant(s): William Buechler
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Wachovia Securities, Wachovia Corporation
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Guenter S. Cohn, Anatoly "Tony" Zuban, Duane Ted Wolfe
Hearing Site: San Diego, CA
07-0317906/04/2008Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Jim Madaffer
Respondent Lawyers(s): Jim Madaffer
Arbitrator(s): Evan A. Gould
Hearing Site: San Diego, CA
Checkmark Icon$0
06-0201106/04/2008Claimant(s): John G., and Marcia Y. Wang
Claimant Lawyers(s): John G. Wang
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Yuchia Lin
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Nicholas J. Caputo, Jane Bradley, Nick G. Tarlson
Hearing Site: San Francisco, CA
Checkmark Icon$0
07-0295506/03/2008Claimant(s): Valentine Valuca
Claimant Lawyers(s): Valentine Valuca
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Reid R. Broda
Arbitrator(s): J. Martin McDonough
Hearing Site: New York, NY
07-0323806/03/2008Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Eric Johns
Respondent Lawyers(s): Eric Johns
Arbitrator(s): Kenneth J. Safran
Hearing Site: Detroit, MI
Checkmark Icon$0
01-0713706/03/2008Claimant(s):
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Checkmark Icon$0
05-0549706/03/2008Claimant(s):
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Checkmark Icon$0
07-0137706/03/2008Claimant(s): Leota Bush Trust
Claimant Lawyers(s): Steven Gourley
Respondent(s): Marcel Frey, Mark Goldie
Respondent Lawyers(s): Joseph C. Campo
Arbitrator(s): Thomas E. Shuck, Neil S. Jasper, Rosalind Anne Salzman
Hearing Site: Los Angeles, CA
Checkmark Icon$0
06-0514106/02/2008Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Lisett DiDonato-Young
Respondent Lawyers(s): Curtis Carlson
Arbitrator(s): Laurent C. Vonderweidt, Barton J. Brewer, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
00-0299706/02/2008Claimant(s): Ignatius du Plessis
Claimant Lawyers(s): Ignatius du Plessis
Respondent(s): Frank Mandrell, Baxter, Banks & Smith, Ltd.
Respondent Lawyers(s): F. Martin McDermott, Frank E. Mandrell
Arbitrator(s): Royal D. Heisser
Hearing Site: Los Angeles, CA
Checkmark Icon$90,000

22,017 Results

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