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FINRA Awards for Legal Department

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0245311/03/2021Claimant(s): Kevin McPhee
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): A. R. Baron & Co.., American Capital Partners, First United Equities Corporation, Joseph Gunnar & Co.
Respondent Lawyers(s): Jeffrey Weissman, John Gardini, Legal Department, Peter Bon Viso
Arbitrator(s): Selma Moy
Hearing Site: New York, NY
20-0065901/25/2021Claimant(s): James Faddy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SEG Capital
Respondent Lawyers(s): Legal Department
Arbitrator(s): Joseph I. Liebman
Hearing Site: New York, NY

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