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FINRA Awards for Barry R. Lax

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Displaying 10 out of 10 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0209304/18/2023Claimant(s): Jeremy Seidman, Jose Rodriguez-Villalobos, Mitchell Riesenberger, Simon Clarke
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): David S. Pegno
Arbitrator(s): Michael A. Orticelle, John R. Snyder, Merriann Panarella
Hearing Site: Boston, MA
20-0395702/02/2023Claimant(s): James Garrity
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Scott J. Splittgerber
Arbitrator(s): Martin V. Franks, Marni E. Byrum, Julius P. Terrell
Hearing Site: Washington, DC
19-0297412/23/2021Claimant(s): Douglas Prezzano, Eric Miller, Heinz Jaeggi, Roger Wacker, Stefan Lendi, Steven Soja, Stewart Bosley
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Dennis S. Ellis
Arbitrator(s): Barbara M. Zak, Marc S. Joseph, Cynthia Cashman Makin
Hearing Site: Los Angeles, CA
16-0282511/05/2021Claimant(s): David Hirsch, James Kelly, James Whitney, Mark Hutchinson, Mary DiChristofano, Michael Board, Michael Sakach, Paul Vandenheuvel
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Brian E. Spang
Arbitrator(s): Steven H. Vogel, Leonard Arthur Nelson, Richard Lane Miller
Hearing Site: Chicago, IL
15-0003612/28/2016Claimant(s): Anthony Garvin
Claimant Lawyers(s): Barry R. Lax
Respondent(s): David Gilio, Burnham Securities Inc.
Respondent Lawyers(s): David S. Gilio, W. Nolan Sheehan
Arbitrator(s): Linda J. Baer, Edmund Siejka, Joseph Leo Calabrese
Hearing Site: New York, NY
13-0286109/08/2015Claimant(s): Gontran De Quillacq
Claimant Lawyers(s): Barry R. Lax
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Allan S. Bloom
Arbitrator(s): Howard D. Jacob, Linda Ashley, Ernesto Jose Mejer
Hearing Site: New York, NY
12-0234602/06/2015Claimant(s): Scott Skyrm
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Newedge USA
Respondent Lawyers(s): John P. Barry
Arbitrator(s): Susan Y. Chin, Gregory J. Getz, Michael Peter Yahr
Hearing Site: New York, NY
09-0254705/20/2010Claimant(s): Ari Bayme
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Milbank Roy Securities
Respondent Lawyers(s): E. Michael Bradley
Arbitrator(s): Sheldon Curtis, Lowell D. Johnston, Abigail J. Pessen
Hearing Site: New York, NY
08-0012304/16/2009Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): J. Michael Riordan
Respondent(s): Joseph Delaura
Respondent Lawyers(s): Barry R. Lax
Arbitrator(s): Douglas John Baumann, Norman Kass, Robert Alan Mayer
Hearing Site: Newark, NJ
08-0034404/16/2009Claimant(s): Joseph Delaura
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kenneth O'Connor
Arbitrator(s):
Hearing Site: Newark, NJ

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