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FINRA Awards

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Displaying 21,801-21,810 out of 22,173 results
Case Number Award Date Case Summary Customer Case? Amount Granted
06-0089511/01/2007Claimant(s): Debra Reda-Cappos
Claimant Lawyers(s): William Lindsley
Respondent(s): Wachovia Securities, Terry Chase
Respondent Lawyers(s): Michael J. Abbott, Sheryl L. Skibbe
Arbitrator(s): Howard A. Emirhanian, Salvatore A. Sciortino, Steven J. Feldman
Hearing Site: Los Angeles, CA
06-0330611/01/2007Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Peter Janowsky
Respondent Lawyers(s): William A. DiConza
Arbitrator(s): Gilbert F. Bach, Robina Fedora Asti, John Murray Carroll
Hearing Site: New York, NY
06-0339611/01/2007Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Carlisle Kelson
Respondent Lawyers(s): John C. Hamilton
Arbitrator(s): G. Donald Steel, Michael F. Fetsch, Tim V. Young
Hearing Site: Indianapolis, IN
06-0471411/01/2007Claimant(s): Allen Green, Donald Teboe, William Wright, A. Green Financial Group.
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): Robert Cargin, Regis Securities Corporation
Respondent Lawyers(s): Robert K. Cargin
Arbitrator(s): Harvey Frank, Kenneth J. Safran, Patrick A. Guentner
Hearing Site: Detroit, MI
06-0523411/01/2007Claimant(s): Capital Growth Financial
Claimant Lawyers(s): Delmer C. Gowing
Respondent(s): Gregg Zadrozny
Respondent Lawyers(s): Gregg Thomas Zadrozny
Arbitrator(s): Sheldon I. Saitlin, David T. Adonailo, William James Russell
Hearing Site: Boca Raton, FL
07-0081211/01/2007Claimant(s): John Amon
Claimant Lawyers(s): John I. Amon
Respondent(s): Tom Moriarty, Vic Hobson, Intersecurities.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Thomas W. Steed, Wayne Parker, William A. Collison
Hearing Site: Raleigh, NC
06-0501811/01/2007Claimant(s): Est. of D. Cermak, Patricia Prinds, Exe
Claimant Lawyers(s): Barry D. Estell
Respondent(s): Douglas Hemke, First Midamerica Investment Corp.
Respondent Lawyers(s): Jeffrey Jamieson
Arbitrator(s): Keith U. Martin, David A. Nixon, Michael J. Hunter
Hearing Site: Kansas City, MO
Checkmark Icon$230,000
07-0080511/01/2007Claimant(s): Scottrade.
Claimant Lawyers(s): Thomas L. Azar
Respondent(s): John Gott
Respondent Lawyers(s): John C. Gott
Arbitrator(s): Kathy R. Holler, Lynne M. Gomez, David C. Redford
Hearing Site: Houston, TX
Checkmark Icon$0
04-0293910/31/2007Claimant(s): Pro-Integrity Securities.
Claimant Lawyers(s): William Perry
Respondent(s): Jeffrey Rubin
Respondent Lawyers(s): Jeffrey S. Rubin
Arbitrator(s): James A. Mullin, Lucia A. Aschettino, W. Jeffrey Weinlandt
Hearing Site: New York, NY
07-0024010/31/2007Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Lawrence Scoloveno
Respondent Lawyers(s): Lawrence D. Scoloveno
Arbitrator(s): Sandralin J. Kiss, Virginia Kali Sourlis, Stanley M. Lenkowicz
Hearing Site: Newark, NJ

22,173 Results

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