FINRA Awards for Philip L. Guarino

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Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
17-01718	06/16/2021	Claimant(s): Kayvan Karoon, KS Capital Management Claimant Lawyers(s): Philip L. Guarino Respondent(s): National Securities Corporation Respondent Lawyers(s): Fred N. Knopf Arbitrator(s): Leslie Ruth Nydick, James M. Rhodes, Antonio Di Palma Hearing Site: Jersey City, NJ
10-01812	12/14/2012	Claimant(s): Raymond James Financial Services. Claimant Lawyers(s): John K. Wells Respondent(s): Hemant Singh Respondent Lawyers(s): Philip L. Guarino Arbitrator(s): Henry Tiffany, Sandra Gale Behrle, Alfred H. Kingon Hearing Site: New York, NY
08-04707	11/22/2010	Claimant(s): Kayvan Karoon, Karoon Capital Markets. (dba) Claimant Lawyers(s): Philip L. Guarino Respondent(s): Albert Johnson, Jack Handy, John Simmers, Financial Network Investment Corporation, ING Advisors Network Respondent Lawyers(s): David S. Goldstein, Donald H. Chase, Evan Lupion Arbitrator(s): Philip W. Burge, Tina L. Mitchell, David Nielsen Hearing Site: Los Angeles, CA