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FINRA Awards for Ralph L. Halpern

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0167212/14/2018Claimant(s): Marc Johnson
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff S. Beckham
Arbitrator(s): Ralph L. Halpern
Hearing Site: Syracuse, NY
09-0714407/08/2010Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Anthony Dicesare
Respondent Lawyers(s): Anthony DiCesare
Arbitrator(s): Ralph L. Halpern
Hearing Site: Buffalo, NY
06-0530906/12/2008Claimant(s): Roxanne Brooker
Claimant Lawyers(s): James G Brooker
Respondent(s): Anne Saeva, Chase Investment Services Corp., Paula Fritz
Respondent Lawyers(s): Carolyn G. Nussbaum
Arbitrator(s): Ralph L. Halpern, Karin A. Schlosser, Frederick N.C. Jerauld
Hearing Site: Buffalo, NY

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