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FINRA Awards

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Displaying 3,151-3,160 out of 22,017 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0389012/22/2021Claimant(s): Shawn Maloney
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter Wheeler
Arbitrator(s): Josian Antoine
Hearing Site: Albany, NY
21-0126412/22/2021Claimant(s): Anthony Arch
Claimant Lawyers(s): Brian Luther
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Ana R. Hartman
Arbitrator(s): Kenneth Paul Strongman
Hearing Site: San Francisco, CA
21-0222012/22/2021Claimant(s): Samantha Flores
Claimant Lawyers(s): Samantha Flores
Respondent(s): Aspiration Financial LLC
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
Checkmark Icon$2,500
19-0314812/22/2021Claimant(s): Scort, C.A.
Claimant Lawyers(s): Lars Soreide
Respondent(s): Morgan Stanley, Paquita Holder
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Mark C. Perry, Daniel Joseph Chiodo, Mary C. Walsh
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
20-0100912/22/2021Claimant(s): Cooperativa De Ahorro Y Credito Jayuya
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Richard James Igou, Hiram Lee Tanner, Hector R Lopez-Garcia
Hearing Site: San Juan, PR
Checkmark IconExpungement
20-0344512/22/2021Claimant(s): Joel Barton, Suzanne Fisk, Estate of Joel R. Barton Jr.
Claimant Lawyers(s): William J. Garrison
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Putz
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Daniel J. Pagnano, Jeffrey R. Pendergraft, Michael James Barton
Hearing Site: Houston, TX
Checkmark IconExpungement
21-0068612/22/2021Claimant(s): Ronald Waselenchuk
Claimant Lawyers(s): Teresa Verges
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Irisa Chen
Arbitrator(s): Andrea R. Jacobs
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
19-0301412/22/2021Claimant(s): Nuha Rukieh
Claimant Lawyers(s): Dennis Murray
Respondent(s): Andrey Ilyasov, Ameriprise Financial Services
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Patrick R. Sughroue, Sandra Jo Baumchen, Sheldon Jacob Stark
Hearing Site: Detroit, MI
Checkmark Icon$0
20-0106612/22/2021Claimant(s): Edward Newman
Claimant Lawyers(s): Edward K. Newman
Respondent(s): Aja Hallin, Beth Kirkland, Elizabeth Roberts, Wells Fargo Clearing Services, Kevin Smith, Sanford Smith, Theresa Machi, Tomm Hudson
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Mary Margaret Bush, David I. Levine, Christopher Cother Powers
Hearing Site: San Francisco, CA
Checkmark Icon$0
20-0381112/22/2021Claimant(s): Matthew Soja, Sharon Soja
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Eric Hogarth, Joel Johnson, Silver Oak Securities.
Respondent Lawyers(s): Chris G. Lazarini, Theodore Snyder
Arbitrator(s): Steven R. Rolnick, William D. Stempel, Paul Smith Besson
Hearing Site: Hartford, CT
Checkmark IconDismissed by Rule 12206

22,017 Results

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