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FINRA Awards for Julian F. Santos

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Displaying 11-20 out of 34 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0345705/23/2019Claimant(s): Gerard Sharpe
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): NewBridge Securities Corp., J.W. Barclay & Co..
Respondent Lawyers(s): Gregg J. Breitbart, John Bruno
Arbitrator(s): Julian F. Santos
Hearing Site: Newark, NJ
18-0290305/17/2019Claimant(s): Jay Shah
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation, Vfinance Investments.
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Julian F. Santos
Hearing Site: New York, NY
18-0242603/19/2019Claimant(s): Sam Faltas
Claimant Lawyers(s): Sam Faltas
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Justin E. Condit
Arbitrator(s): Julian F. Santos, Simone A. Muscarnera, Robert A. Cohen
Hearing Site: Newark, NJ
18-0064602/11/2019Claimant(s): Thomas Kelly
Claimant Lawyers(s): Michael Bessette
Respondent(s): Eastbrook Capital Group LLC
Respondent Lawyers(s): Edward Sampson
Arbitrator(s): Julian F. Santos
Hearing Site: New York, NY
18-0127611/02/2018Claimant(s): Thomas Mullooly
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Julian F. Santos
Hearing Site: Newark, NJ
16-0003301/12/2018Claimant(s): Odeon Capital Group LLC
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Evan Schwartzberg, Mathew Van Alstyne, Mihir Patel, Auriga USA
Respondent Lawyers(s): Gary Trachten, Jeffrey Plotkin, Jonathan Sack
Arbitrator(s): Julian F. Santos, John Caracciolo, Paul George Huck
Hearing Site: New York, NY
16-0182407/11/2017Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Robert Perconte
Respondent Lawyers(s): Robert A. Perconte
Arbitrator(s): Julian F. Santos
Hearing Site: New York, NY
16-0321905/30/2017Claimant(s): Valery Scancella
Claimant Lawyers(s): Valery Scancella
Respondent(s): Legend Securities.
Respondent Lawyers(s): Frank Fusco
Arbitrator(s): Joel Levinson, Julian F. Santos, Robert Elliot Harrison
Hearing Site: New York, NY
16-0066702/16/2017Claimant(s): Tal Malhi
Claimant Lawyers(s): Tal Malhi
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Amanda K. Caldwell
Arbitrator(s): Julian F. Santos
Hearing Site: Newark, NJ
15-0335710/27/2016Claimant(s): Mustafa Er
Claimant Lawyers(s): Mustafa M. Er
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey J. Kmoch
Arbitrator(s): Roger J. Hawke, Julian F. Santos, David John Reilly
Hearing Site: New York, NY

34 Results

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