| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 87-01438 | NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between LYNNE DRAZIN, LYNNE ORAZIN CUST. JORDAN DRAZIN, AND ANNE R. HYMAN Claimants and TRI-BRAOLEY INVESTMENTS AND PAUL HURTAOO Respondents CASE NO. 87-01438 AWARD On March 23, 1989, in Denver, Colorado, the undersigned… | Award | NASD | 03/30/1988 |
| 87-02883 | NATIONAL ASSOCIATION OF SECURITIES DEALERS -*—*-*.*- —»__.—— — ____. — _ _ H __ __ -te__• •»-•.———^_ — __^___ - »^ In the Matter of the Arbitration Between ENID STtfRN JEWELRY INTERNATIONAL, INC., Claimant, 87-02883 and : PHILIPS, APPEL & WALDEN, INC. WILLIAM KENT Respondents. X ANSWER OF… | Award | NASD | 03/14/1988 |
| 87-00281 | NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Greg Skelly Claimant(s) vs. Blinder, Robinson & Co., Inc. and James G, Mahoney Respondent(s) 'Region rear NOTICE OF ARBITRATION AWARD 87-00281 CASE SUMMARY Claimant(s) Greg Skelly alleged that Respondent(s)… | Award | NASD | 03/01/1988 |
| 17-00514 | Claimant(s): Commerce Brokerage Services, Inc.
Claimant Representative(s): Corey L. Franklin
Respondent(s): Wells Fargo Advisors, LLC, Kyle Herrman, Renee Crittenden
Respondent Representative(s): Thomas B. Lewis
Hearing Site: Wichita, KS
|
Award | FINRA | |
| 21-02866 | Claimant(s): Charlotte M Maier IRA
Claimant Representative(s): Charlotte M. Maier
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Geoff Beckham
Hearing Site: Albuquerque, NM
|
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 | |
| 22-00777 | 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 | |
| 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 | |
| 17-02911 | Claimant(s): Adrienne Bosh, Christopher Bosh, CB1 Enterprises, CWB Productions, LLC, Mr. Nice Tie, LLC
Claimant Representative(s): Ryan K. Bakhtiari
Respondent(s): True Capital Managment, Llc
Respondent Representative(s): Brian Kennedy
Neutral(s): Barbara M. Zak, Gregory Douglas Stone, Beverly Faye White
Hearing Site: Los Angeles, CA
|
Award | FINRA | |
| 19-02516 | Claimant(s): Dustin Colebank
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Srah K. Yates
Hearing Site: Little Rock, AR
|
Award | FINRA | |
| 19-01706 | Claimant(s): Brent Henry
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Sarah K. Yates
Neutral(s): Lynne M. Gomez
Hearing Site: Little Rock, AR
|
Award | FINRA | |
| 18-04209 | Claimant(s): Andrew Watson, Courtney Watson, Kenneth Roberts, Virginia Scherer, Hibbett Neel IRA, Joyce Bedsole IRA, Susan Neel IRA, Travis Bedsole IRA, Thomas Scherer Trustee
Claimant Representative(s): Scott D. Hirsch
Respondent(s): Pershing LLC
Respondent Representative(s): Jeffrey J. Chapman
Hearing Site: Jackson, MS
|
Award | FINRA | |
| 19-00042 | Claimant(s): Carter Towne, Charles Gibson, Donna Lester, Mary Jo Kearfott, William Mounger
Claimant Representative(s): Scott D. Hirsch
Respondent(s): Pershing LLC
Respondent Representative(s): Jeffrey J. Chapman
Hearing Site: Jackson, MS
|
Award | FINRA | |
| 18-02179(1) | Motion to Vacate | FINRA | ||
| 17-02773 | Claimant(s): UBS Financial Services Inc.
Claimant Representative(s): Anthony J. Borrelli
Respondent(s): Daniel Motherway
Respondent Representative(s): Michael D. Handelsman
Neutral(s): Philip Levine, James M. Baumann, Joan Marie Chiusano
Hearing Site: Newark, NJ
|
Award | FINRA |
