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FINRA Awards

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Displaying 2,261-2,270 out of 22,017 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0011409/23/2022Claimant(s): Gregory Crance
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Oneamerica Securities., Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Birmingham, AL
21-0123009/23/2022Claimant(s): Kathy Starks, Maxie Starks
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Mary Elizabeth Skelnik
Hearing Site: Little Rock, AR
Checkmark IconExpungement
21-0206109/22/2022Claimant(s): Sandra Edwards
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
21-0236709/22/2022Claimant(s): Kestra Financial., Kestra Investment Services
Claimant Lawyers(s): Richard D'Amura
Respondent(s): Allen Hegener
Respondent Lawyers(s): Allen John Hegener
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
22-0002309/22/2022Claimant(s): Trawnegan Gall
Claimant Lawyers(s): Zachary Morse
Respondent(s): Sandlapper Securities
Respondent Lawyers(s): Trevor Gordon
Arbitrator(s): Nicholas J. Caputo, Benjamin F. Breslauer, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
21-0283809/22/2022Claimant(s): Fabrice Dejean
Claimant Lawyers(s): Fabrice Dejean
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Anthony D. DeToro, Joseph C. Watson, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
Checkmark Icon$0
20-0172109/22/2022Claimant(s): John Ewine
Claimant Lawyers(s): David W. Porteous
Respondent(s): John Orlando, Richard Rappaport, Newport Coast Securities., Westpark Capital.
Respondent Lawyers(s): Kevin Lee, Nancy L. Hendrickson, Todd A. Zuckerbrod
Arbitrator(s): Martin D. Munic, Thomas J. Gmeinder, Steven M. Bialick
Hearing Site: Minneapolis, MN
Checkmark IconExpungement
20-0367409/22/2022Claimant(s): Richard Dawalt
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Joseph Stone Capital L.L.C.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Rafael A. Porrata-Doria, Fred W. Miller, Stephen J. Scherf
Hearing Site: Philadelphia, PA
Checkmark Icon$75,000
21-0218709/21/2022Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Thomas K. Potter
Respondent(s): Jeffery Bickel
Respondent Lawyers(s): William Carlisle
Arbitrator(s): Michael J. Ahlstrom, J.G. Long, Sylloris Lampkin
Hearing Site: Atlanta, GA
21-0246909/21/2022Claimant(s): Guy Deemer
Claimant Lawyers(s): Brian Luther
Respondent(s): Oppenheimer & Co.., Stifel, Nicolaus & Co..
Respondent Lawyers(s): John T. McGuire, Lauren Beekman
Arbitrator(s): Richard W. Dissen, John J. Neely, David Michael Stabile
Hearing Site: Pittsburgh, PA

22,017 Results

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