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FINRA Awards

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Displaying 10 out of 21,758 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0290206/28/2024Claimant(s): Lawrence Catena
Claimant Lawyers(s): Josef Y Rosen
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
23-0275806/28/2024Claimant(s): Raquel Pacheco
Claimant Lawyers(s): Daniel J. Donovan
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young
Arbitrator(s): Michael S. Matek
Hearing Site: Cleveland, OH
23-0292806/28/2024Claimant(s): Darren Oglesby
Claimant Lawyers(s): Brian Luther
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Stephen Edgar Eisenbraun
Hearing Site: New Orleans, LA
23-0310306/27/2024Claimant(s): Jamar Evans
Claimant Lawyers(s): Jamar Evans
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): Gregory G. Gocek
Hearing Site: Indianapolis, IN
Checkmark Icon$0
23-0300406/27/2024Claimant(s): Morgan Hill
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Arete Wealth Management, Center Street Securities.
Respondent Lawyers(s): Don Pollard, Joshua Rogers
Arbitrator(s): Lita S. Menkin, Jennifer Jackson, Melissa Lianne George
Hearing Site: Atlanta, GA
23-0279706/27/2024Claimant(s): J. Rhodes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Rhodes Securities.
Respondent Lawyers(s): Gordon Rhodes
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
23-0284406/27/2024Claimant(s): Rodrigue Lors
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): National Securities Corporation, Wilmington Capital Securities
Respondent Lawyers(s): Dennis Lee, Emily A. Hayes
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
24-0003306/27/2024Claimant(s): Francisco Torres
Claimant Lawyers(s): Francisco Torres
Respondent(s): Robinhood Financial
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Jeffrey Alan Helewitz
Hearing Site: New York, NY
Checkmark Icon$0
23-0190906/27/2024Claimant(s): Janice Schiff, The Estate of Raymond Schiff
Claimant Lawyers(s): Dennis E. Boyle
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Harry G. Mason
Hearing Site: Atlanta, GA
Checkmark Icon$47,000
21-0060806/26/2024Claimant(s): OTCex
Claimant Lawyers(s): Andrew J. Bernstein
Respondent(s): Mourad Jridi
Respondent Lawyers(s): Gary Trachten
Arbitrator(s): Joseph W. Lodato, Josefa Antonia Sicard-Mirabal, Mitchell H Rubinstein
Hearing Site: New York, NY

21,758 Results

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