| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 18-03456 | Claimant(s): Katherine McClintic
Claimant Representative(s): Katherine F. McClintic
Respondent(s): Anna Troutman, Halen Fairweather, Jack Cunningham, James Mellette, John Troutman, Matthew Saunders, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Logan S. Fisher
Neutral(s): Kenneth R. Starr, Gary E. Marcus, H Russell Preston
Hearing Site: Columbia, SC
|
Award | FINRA | |
| 18-03778 | Claimant(s): Pete Henderson
Claimant Representative(s): Clinton W. Marrs
Respondent(s): UBS Financial Services Inc., UBS Credit Corp.
Respondent Representative(s): Michael F. Braun
Hearing Site: Albuquerque, NM
|
Award | FINRA | |
| 18-03778 | Claimant(s): Pete Henderson
Claimant Representative(s): Clinton W. Marrs
Respondent(s): UBS Financial Services Inc., UBS Credit Corp.
Respondent Representative(s): Michael F. Braun
Hearing Site: Albuquerque, NM
|
Award | FINRA | |
| 18-02413 | Claimant(s): Troy Taylor
Claimant Representative(s): Troy Wayne Taylor
Respondent(s): Amegy Investments, Inc.
Respondent Representative(s): Thomas J. Press
Hearing Site: Houston, TX
|
Award | FINRA | |
| 22-00777 | Claimant(s): Hilltop Securities Inc.
Claimant Representative(s): Christopher W. Madel
Respondent(s): Colliers Securities LLC
Respondent Representative(s): Michael D. Lee
Hearing Site: Minneapolis, MN
|
Award | FINRA | |
| 20-03647 | Claimant(s): Kruk Joint Revocable Trust UAD 1-30-17
Claimant Representative(s): Richard S. Frankowski
Respondent(s): Brian Megley, Cetera Advisors LLC
Respondent Representative(s): Michael Schwartzberg
Neutral(s): Catherine Stewart
Hearing Site: Providence, RI
|
Award | FINRA | |
| 22-01482 | Claimant(s): Shane VanDalen
Claimant Representative(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Representative(s): Christopher J. Murdoch
Hearing Site: Seattle, WA
|
Award | FINRA | |
| 20-04145 | Claimant(s): Jeff Sadur
Claimant Representative(s): Jeff Sadur
Respondent(s): E*Trade Securities LLC
Respondent Representative(s): Meredith Hoffman
Hearing Site: Chicago, IL
|
Award | FINRA | |
| 20-0974 | Modified | Award | FINRA | |
| 19-03524 | Claimant(s): Joseph Roop
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Legg Mason Wood Walker, Inc, Wells Fargo Clearing Services, LLC, Banc of America Investment Services Inc.
Respondent Representative(s): Demian J. Betz, Gretchen Klebasko, Sarah K. Yates
Hearing Site: Charlotte, NC
|
Award | FINRA | |
| 19-03525 | Claimant(s): JOSEPH ROOP
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Kalos Capital, Inc.
Respondent Representative(s): Alan M. Wolper
Neutral(s): Richard H. Potter
Hearing Site: Charlotte, NC
|
Award | FINRA | |
| 19-03033 | Claimant(s): Flavia Lo Coco, James Lo Coco
Claimant Representative(s): Timothy Scott Vick
Respondent(s): Michael Gilhooly, Nusheen Javadizadeh, Shapour Javadizadeh, RJJ Pasadena Securities, Inc.
Respondent Representative(s): Andrew B. Holmes, John A. Girardi, Lisa Sherman
Hearing Site: Los Angeles, CA
|
Award | FINRA | |
| 14-02936 | Claimant(s): Robert Schmiedeke, Herbert and Helen Schweiger Trust dtd 11
Claimant Representative(s): Kenneth Catanzarite
Respondent(s): Jeffrey Cannella, Royal Alliance Associates, Inc., Michael Jones, Michelle Langer, Robert Tweed, National Planning Corporation, United Securities Alliance, Inc.
Respondent Representative(s): Carla B. Minckley, Elizabeth Lowery, H Thomas Fehn, Jeffrey S. Kob, Michael Washington Jones, Michael Jones, Tod Sawicki
Neutral(s): Barbara M. Zak, Robert A. Lombardi, Norman Michael Garland
Hearing Site: Los Angeles, CA
|
Award | FINRA | |
| 20-02986 | Claimant(s): Bradley Cooperman
Claimant Representative(s): Frances Menzer
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Samantha D. Parrish
Hearing Site: San Diego, CA
|
Award | FINRA | |
| 18-01256 | Claimant(s): Misako Ball
Claimant Representative(s): Richard B. Fosher
Respondent(s): Sunset Financial Services, Inc.
Respondent Representative(s): John W. Shaw
Neutral(s): Richard S. Zaifert, Maurice M. Feller, John G. Manley
Hearing Site: Nashville, TN
|
Award | FINRA |
