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FINRA Awards

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Displaying 2,181-2,190 out of 22,017 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0132110/21/2022Claimant(s): Rodney Becker
Claimant Lawyers(s): Harris Freedman
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Gregory G. Gocek
Hearing Site: Denver, CO
21-0296710/20/2022Claimant(s): Amy Diehl
Claimant Lawyers(s): James A. Hughes
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Emma C. Tomsick
Arbitrator(s): Ann Elizabeth Sarli
Hearing Site: San Francisco, CA
18-0409110/20/2022Claimant(s): Manjunath Nathan, Arizona Medical Center, PLLC
Claimant Lawyers(s): Leslie Schwaebe Akins
Respondent(s): John Kelly, Lifemark Securities Corp.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Deana S. Peck, Floyd Gerry Hoffman, J. William Brammer
Hearing Site: Phoenix, AZ
Checkmark Icon$0
21-0281010/20/2022Claimant(s): Ariyo Noibi
Claimant Lawyers(s): Ariyo Noibi
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Joseph I. Liebman
Hearing Site: New York, NY
Checkmark Icon$0
21-0278810/20/2022Claimant(s): Taiko Wakasa
Claimant Lawyers(s): Samuel B Edwards
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): Bryce M. Cullinane
Arbitrator(s): Robert E. Jenks, Erin Person, Marc David Wilde
Hearing Site: Los Angeles, CA
Checkmark IconDismissed by Rule 12206
21-0292910/20/2022Claimant(s): Margaret Bui-Quan
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Cetera Advisor Networks
Respondent Lawyers(s): Garry T. Stevens
Arbitrator(s): David S. Billet, Timothy Robert Hott, Roger Pierro
Hearing Site: New York, NY
Checkmark IconDismissed by Rule 12206
21-0247510/19/2022Claimant(s): Devon Grandbois
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Edward Jones
Respondent Lawyers(s): Michael J. Steinlage
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Minneapolis, MN
Checkmark IconExpungement
21-0178210/19/2022Claimant(s): Cary Shillington, Caterina Romano, Italo Romano, Stuart Wein, Cary Shillington IRAs, CM Romano Family Trust DTD 8/26/2005, Wein Schliep Trust DTD 4/20/17
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Estate of Jan Earl Haynes, Joshua Helmle
Respondent Lawyers(s): Estate of Jan Earl Haynes, Joshua Nathan Helmle
Arbitrator(s): Robert E. Jenks, Kenneth Andrew Klinko, Fern M. Laethem
Hearing Site: San Diego, CA
Checkmark Icon$510,000
19-0089310/18/2022Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Robert Deblasio
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): George G. Kurschner, Lawrence Robert Gould, Theodore Roy Bayer
Hearing Site: Boca Raton, FL
22-0001010/18/2022Claimant(s): Steven Helland
Claimant Lawyers(s): Rick Illmer
Respondent(s): Frontier Solutions
Respondent Lawyers(s): Davis Vick
Arbitrator(s): Frances Johnson Wright, Anita M. Jean, Allan Ray Thomas
Hearing Site: Dallas, TX

22,017 Results

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