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FINRA Awards for The GMS Group

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Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0321008/18/2021Claimant(s): Michael Greenfield
Claimant Lawyers(s): Mark Simms
Respondent(s): Morgan Stanley, The GMS Group
Respondent Lawyers(s): Kimberly J. Gustafson, Matthew E. Lipman
Arbitrator(s): Leslie L. Cooney
Hearing Site: Boca Raton, FL
19-0099610/17/2019Claimant(s): Paul Mante
Claimant Lawyers(s): Alex R. Schmidt
Respondent(s): The GMS Group
Respondent Lawyers(s): Timothy J. Donohue
Arbitrator(s): Joseph H. Cerame
Hearing Site: New York, NY
19-0106010/01/2019Claimant(s): Paul Mante
Claimant Lawyers(s): Alex R. Schmidt
Respondent(s): The GMS Group
Respondent Lawyers(s): Timothy J. Donohue
Arbitrator(s): Louis H Miron
Hearing Site: Newark, NJ
19-0105909/11/2019Claimant(s): Paul Mante
Claimant Lawyers(s): Alex R. Schmidt
Respondent(s): The GMS Group
Respondent Lawyers(s): Timothy Donohue
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
13-0347911/12/2014Claimant(s): Louis D'Andrea
Claimant Lawyers(s): James F. Keegan
Respondent(s): GMS Group Holdings Corp., The GMS Group
Respondent Lawyers(s): Matthew E. Lipman
Arbitrator(s): Edward W. Morris, Jay Alan Kranis, Erica Bunin
Hearing Site: Newark, NJ
07-0092210/21/2008Claimant(s): Chatsworth Securities
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): The GMS Group
Respondent Lawyers(s): Robin C. Tarr
Arbitrator(s): Barry Quint, William E.S. Browning, Kelly M. Lonergan
Hearing Site: Hartford, CT

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