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FINRA Awards

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Displaying 21,921-21,930 out of 22,173 results
Case Number Award Date Case Summary Customer Case? Amount Granted
07-0099609/26/2007Claimant(s): Mark Mothner
Claimant Lawyers(s): Debora A. Pitman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carol B. Trask
Arbitrator(s): Peter A. Goldman
Hearing Site: New York, NY
04-0117409/26/2007Claimant(s): Kenneth Moskowitz, Leonard Moskowitz
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): James Odorczuk, Lehman Brothers Inc, Todd Rubsamen
Respondent Lawyers(s): Brian F. McDonough
Arbitrator(s): Gerry E. Feinberg, Saul Scheier, Jean C. Black
Hearing Site: New York, NY
Checkmark IconExpungement
06-0350609/26/2007Claimant(s): Deirdre North, FBO Blair A. Riddell Education Trust, FBO Blake A. Riddell Education Trust
Claimant Lawyers(s): William O. Wuester
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): Bill M. Lamoreaux, Joseph J. Ligi, Larrie Alan Weil
Hearing Site: Dallas, TX
Checkmark Icon$0
06-0460909/25/2007Claimant(s): Mary Ann White
Claimant Lawyers(s): Patricia A. Washienko
Respondent(s): Peter Fader, Urchin Capital Partners
Respondent Lawyers(s): James S. Rollins
Arbitrator(s): Tom L. Peterson, John F. Poole, Melinda S. Milberg
Hearing Site: Boston, MA
07-0034409/25/2007Claimant(s): Cherie Stokes
Claimant Lawyers(s): Cherie A. Stokes
Respondent(s): Howe Barnes Hoefer & Arnett.
Respondent Lawyers(s): Matthew C. Boba
Arbitrator(s): Paul D. Gutierrez
Hearing Site: San Francisco, CA
07-0046209/25/2007Claimant(s): Jed Kaplan
Claimant Lawyers(s): Stephen A. Mendelsohn
Respondent(s): Helene Futterman, Barbara Feinberg IRA, Helene Futterman Roth IRA, Leonard Feinberg IRA, Leonard Feinberg Trust
Respondent Lawyers(s): Barbara Feinberg, Helene Futterman, Leonard Feinberg
Arbitrator(s): James J. Fishman, Robert E. Holley, Joan Ilivicky
Hearing Site: New York, NY
Expungement
04-0057709/25/2007Claimant(s):
Claimant Lawyers(s):
Respondent(s): Carolyn Cohen, Larry Rothenberg, Merrill Lynch Pierce Fenner & Smith Inc., MLFPS Cust FPO Lee Container & Paper, Testamentary Trust U/W of Henry Cohen
Respondent Lawyers(s): John C. Kelly, Patrick J. Monaghan
Arbitrator(s): Richard S. Peskin, Alfred Fingerman, Demetrio S. Timban
Hearing Site: Newark, NJ
Checkmark Icon$0
06-0421209/25/2007Claimant(s): Estate of William F. Deinhard
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Ameriprise Advisor Services., Jonathan Zweifel
Respondent Lawyers(s): Howard Klausmeier, Ronald P. Kane
Arbitrator(s): John A. Goffrier, William B. Kirby, James G. Harlan
Hearing Site: Boise, ID
Checkmark Icon$0
06-0475109/25/2007Claimant(s): Deborah Comer
Claimant Lawyers(s): Deborah Comer
Respondent(s): Chistopher Lyons, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Valynda A. Ewton, James M. Tipton, Irwin S. Sugerman
Hearing Site: Dallas, TX
Checkmark Icon$0
06-0012209/24/2007Claimant(s): Donchee Lin, IRA
Claimant Lawyers(s): Donchee Lin
Respondent(s): Weiming Ho, Integral Financial LLC
Respondent Lawyers(s): Weiming Ho
Arbitrator(s): Herbert Liberman, Peter H. Daly, David Edward Canter
Hearing Site: San Francisco, CA
Checkmark Icon$38,210

22,173 Results

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