| Award Document | Case Summary | Document Type | Forum | Date of Award |
|---|---|---|---|---|
| 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 |
| 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 | |
| 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 | |
| 18-02541 | Claimant(s): James Goggins, Jennifer Meyer
Claimant Representative(s): Jonah A Toleno
Respondent(s): USAA Financial Advisors, Inc.
Respondent Representative(s): Michael R. Greco
Hearing Site: Washington, DC
|
Award | FINRA | |
| 18-02542 | Claimant(s): Alex Wilson, Michael Andrews
Claimant Representative(s): Jonah A. Toleno
Respondent(s): USAA Financial Advisors, Inc.
Respondent Representative(s): Michael R. Greco
Hearing Site: Phoenix, AZ
|
Award | FINRA | |
| 18-03621 | Claimant(s): Bryan Clapham
Claimant Representative(s): Jonah A Toleno
Respondent(s): USAA Financial Advisors, Inc.
Respondent Representative(s): Michael R. Greco
Hearing Site: Atlanta, GA
|
Award | FINRA | |
| 17-02470 | Claimant(s): James Moore
Claimant Representative(s): Elizabeth Zeck
Respondent(s): Raymond, James & Associates, Inc.
Respondent Representative(s): Carole G. Miller
Hearing Site: Columbia, SC
|
Award | FINRA | |
| 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 |
