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FINRA Awards

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Displaying 2,111-2,120 out of 22,017 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0228411/17/2022Claimant(s): Jose Camacho
Claimant Lawyers(s): Aaron A. Romney
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Julian F. Santos
Hearing Site: Hartford, CT
Checkmark Icon$0
22-0067211/16/2022Claimant(s): Julian Marturano
Claimant Lawyers(s): Brian Luther
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): John W. Eichleay
Hearing Site: Pittsburgh, PA
22-0076411/16/2022Claimant(s): Ralph Giansanti
Claimant Lawyers(s): Richard Slavin
Respondent(s): Harvest Capital LLC
Respondent Lawyers(s): Ralph Giansanti
Arbitrator(s): John J. Mager, Richard Hallett Nichol, Jud Perkins
Hearing Site: Hartford, CT
22-0098111/16/2022Claimant(s): Manuel Melendez
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey Medina
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
22-0100611/16/2022Claimant(s): Sangeeta Singh
Claimant Lawyers(s): Sangeeta D Singh
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
22-0024011/16/2022Claimant(s): Geoffrey Githaiga
Claimant Lawyers(s): Geoffrey Githaiga
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin Lewis
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
Checkmark Icon$0
21-0234011/16/2022Claimant(s): Lynne Crowe, William Crowe
Claimant Lawyers(s): Aleaha N. Jones
Respondent(s): Thomas Prieur, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Meagan A. Lamberti, Michelle Arbitrio
Arbitrator(s): Laura A. Kaster, Bruce Ernest Hunter, Melanie Barr-Brooks
Hearing Site: Baltimore, MD
Checkmark Icon$100,625
20-0067011/15/2022Claimant(s): Christopher Burns
Claimant Lawyers(s): John David Singer
Respondent(s): Capital One Securities.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Joshua Mark Zucker, Steven Gary Leventhal, Michael David Blechman
Hearing Site: New York, NY
22-0094011/15/2022Claimant(s): Anthony Vito
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Arne R. Rode
Hearing Site: Chicago, IL
21-0294011/15/2022Claimant(s): Yvonne Lyon
Claimant Lawyers(s): Robert Persante
Respondent(s): James Evans, Fidelity Brokerage Services LLC, Ryan Patrick
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Mimi B. Osiason, Geoffrey Paul Nuckolls, Andrea M Johnson
Hearing Site: Tampa, FL
Checkmark IconExpungement

22,017 Results

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