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FINRA Awards for Thomas J. Fleming

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0021203/24/2016Claimant(s): Newoak Capital LLC, Newoak Capital Markets LLC
Claimant Lawyers(s): Joseph M. Pastore
Respondent(s): Alexander Sellinger, Bryan Nagy, Patrick Mahon, Samuel Warren, Brean Capital
Respondent Lawyers(s): Thomas J. Fleming
Arbitrator(s): Jeffrey F. Friedman, Steven J. Brill, Michele S. Riley
Hearing Site: New York, NY

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