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FINRA Awards for Ira G. Rosenstein

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Displaying 10 out of 56 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0092811/15/2023Claimant(s): Alvaro Gonzalez
Claimant Lawyers(s): Blaine Bortnick
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Kimberly C. Lawrence, Phillip Weitzman, Harold Bruce Aspis
Hearing Site: New York, NY
22-0110805/30/2023Claimant(s): Mihir Jobalia
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): KPMG Corporate Finance LLC
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
22-0205805/24/2023Claimant(s): Rodrigo Jolig
Claimant Lawyers(s): Ethan Andrew Brecher
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Keely D. Parr, Kellisia Hazlewood, Rick Rutman
Hearing Site: New York, NY
22-0050001/23/2023Claimant(s): Hai Xu
Claimant Lawyers(s): Marc D Schifanelli
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Jeffrey Axelrad
Hearing Site: Baltimore, MD
21-0250712/05/2022Claimant(s): Michael Miller
Claimant Lawyers(s): Gregg Adler
Respondent(s): TD Private Client Wealth LLC
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Edward S. Hill, Patrick Leo Kennedy, Peter E. Gillespie
Hearing Site: Hartford, CT
20-0067011/15/2022Claimant(s): Christopher Burns
Claimant Lawyers(s): John David Singer
Respondent(s): Capital One Securities.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Joshua Mark Zucker, Steven Gary Leventhal, Michael David Blechman
Hearing Site: New York, NY
21-0134209/23/2022Claimant(s): Thiago Melzer
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Kenneth Diamond, Amy Jill Baranoff, Peter E. Gillespie
Hearing Site: New York, NY
20-0372904/27/2022Claimant(s): William Price
Claimant Lawyers(s): William Price
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Harvey E. Benjamin, Franklin Kass Moss, Richard Gary Stelnik
Hearing Site: New York, NY
20-0051102/10/2022Claimant(s): David Thompson
Claimant Lawyers(s): Brian J. Neville
Respondent(s): TD Private Client Wealth
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Leonard E. Benade, Douglas Earl McLaren, Norman Lee Gunn
Hearing Site: Charlotte, NC
20-0185702/03/2022Claimant(s): Paul Coleman
Claimant Lawyers(s): Marie Mirch
Respondent(s): Chase Investment Services Corp., HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein, Michael a. Gross
Arbitrator(s): Robert M. Singer
Hearing Site: Hartford, CT

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