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FINRA Awards for David N. Brainin

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0456910/11/2011Claimant(s): Lehman Brothers Holdings.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Jennifer Mitchell
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): David N. Brainin
Hearing Site: New York, NY
09-0647012/29/2010Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Andrew Park
Respondent(s): Henry Frenzel
Respondent Lawyers(s): Ronald Hollander
Arbitrator(s): David N. Brainin
Hearing Site: New York, NY
08-0165412/06/2010Claimant(s): Walter Roth
Claimant Lawyers(s): Walter W. Roth
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): David E. Strand
Arbitrator(s): David N. Brainin, Marilyn Chin, Angela M. Morisco
Hearing Site: Newark, NJ

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