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FINRA Awards

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Displaying 21,181-21,190 out of 22,173 results
Case Number Award Date Case Summary Customer Case? Amount Granted
06-0260205/22/2008Claimant(s): James Parascandola
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Barclays Capital.
Respondent Lawyers(s): Nicolas Bourtin
Arbitrator(s): John J. Lynch, Ivan W. Harper, David Kramer
Hearing Site: New York, NY
07-0064305/22/2008Claimant(s): Richard Olszewski
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): Lewis Sanders, AllianceBernstein Investments., AllianceBerstein Investment Research
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Richard D. DeVita, Robert J. Gorgia, Renee S. Rothschild
Hearing Site: Newark, NJ
07-0218605/22/2008Claimant(s): Robert Kelliher
Claimant Lawyers(s): Robert F. Kelliher
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Andrew H. Smith
Arbitrator(s): Stephen Z. Frank
Hearing Site: Boston, MA
07-0293405/22/2008Claimant(s): Andrew Aragona
Claimant Lawyers(s): Arthur C. Koski
Respondent(s): Wachovia Securities Financial Network
Respondent Lawyers(s): Patricia Morales Christiansen
Arbitrator(s): Dean R. Mielke, Les R. Campbell, Leon H. Tracy
Hearing Site: Ft. Lauderdale, FL
07-0317505/22/2008Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Michael Myers
Respondent Lawyers(s): Michael Myers
Arbitrator(s): Melinda G. Jayson
Hearing Site: Dallas, TX
Checkmark Icon$0
07-0111805/22/2008Claimant(s): Kim Yonkers and Linda Yonkers
Claimant Lawyers(s): David Neuman
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Kevin R. Zehe
Hearing Site: Cleveland, OH
Checkmark Icon$25,000
07-0311005/22/2008Claimant(s): Toni Ciarlariello
Claimant Lawyers(s): Toni G. Ciarlariello
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Lauryn J. Hart
Arbitrator(s): Charles A. Crocco
Hearing Site: Newark, NJ
Checkmark Icon$0
06-0439905/21/2008Claimant(s): Daniel Dart
Claimant Lawyers(s): Dan Driscoll
Respondent(s): Pioneer Funds Distributor., Pioneer Investment Management USA., Pioneer Investment Management.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): S. Lawrence Gwin, John F. Poole, Edward Joseph Boudreau
Hearing Site: Boston, MA
07-0114005/21/2008Claimant(s): Stephen Brooks
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): Merrill Lynch Investment Managers LP
Respondent Lawyers(s): Michael J. Fortunato
Arbitrator(s): Richard W. Cutler, Molly Klapper, Jerome Martin Pustilnik
Hearing Site: New York, NY
07-0190205/21/2008Claimant(s): Jeffrey Mann, Paul Umansky, UMann Fund Management
Claimant Lawyers(s): Jeffrey Mann, Paul J. Umansky
Respondent(s): Triumph Global Securities, LTD
Respondent Lawyers(s): Alfred Ferrer
Arbitrator(s): Frank Muller, Peter A. Goldman, David Mark Sobel
Hearing Site: New York, NY

22,173 Results

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