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FINRA Awards

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Displaying 10 out of 21,437 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0004003/29/2024Claimant(s): Mark Kolta
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation, Worden Capital Management LLC, Aegis Capital Corp.
Respondent Lawyers(s): Daniel Scott Furst, Emily A. Hayes, Jamie J. Worden
Arbitrator(s): Cheryl H. Agris, John Clark Van Steen, Susan Romano
Hearing Site: New York, NY
23-0004403/29/2024Claimant(s): Danielle Azadian
Claimant Lawyers(s): Lars Soreide
Respondent(s): Peter Janssen, Katalyst Securities Llc
Respondent Lawyers(s): Philip Kempisty, Walter J. Mathews
Arbitrator(s): Lita S. Menkin, Gia B. Compton, Jeffrey Alperin
Hearing Site: Atlanta, GA
Checkmark Icon$46,440
23-0139003/29/2024Claimant(s): Gregory Thorn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
23-0149103/29/2024Claimant(s): Michael Rice
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Lehman Brothers Inc
Respondent Lawyers(s): Christopher K. Kiplok
Arbitrator(s): Peter E. Gillespie
Hearing Site: New York, NY
23-0114503/28/2024Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Abraham Bichler
Respondent Lawyers(s): Abraham Yitzchak Bichler
Arbitrator(s): Eva H. Posman, Mary Julia O'Connell, Joanne Sari Feld
Hearing Site: New York, NY
Checkmark Icon$0
23-0204103/28/2024Claimant(s): John Parmigiani
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Allied Millennial Partners
Respondent Lawyers(s): Kay Johnson
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
23-0146603/28/2024Claimant(s): Jeffrey Beaulieu
Claimant Lawyers(s): William Bean
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Andrew S. Azarmi
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
23-0207403/28/2024Claimant(s): Ann Stewart
Claimant Lawyers(s): Christopher Lufrano
Respondent(s): Parkland Securities
Respondent Lawyers(s): Irit Walters
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
Checkmark IconDismissed by Rule 12206
23-0138603/28/2024Claimant(s): Hua Fan
Claimant Lawyers(s): Hua Fan
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffrey D. Rogers
Arbitrator(s): Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA
Checkmark Icon$0
23-0280203/28/2024Claimant(s): Edward Maynard
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Kristina J. Branstetter
Arbitrator(s): Joseph V. Simeri
Hearing Site: Cincinnati, OH

21,437 Results

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