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FINRA Awards for Frank M. Romano

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0250203/08/2019Claimant(s): Lance Roberts
Claimant Lawyers(s): Dochtor D. Kennedy
Respondent(s): Nelsonreid.
Respondent Lawyers(s): John Starks
Arbitrator(s): Frank M. Romano
Hearing Site: Houston, TX
18-0069710/19/2018Claimant(s): Michael Sullivan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons., Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Frank M. Romano
Hearing Site: Houston, TX
05-0381412/19/2007Claimant(s): Arthur Kieval
Claimant Lawyers(s): David L. Ward
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): James Mervin Benson, Frank M. Romano, Eli Bensky
Hearing Site: Houston, TX

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