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FINRA Awards for Dominick & Dickerman LLC

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0132612/20/2023Claimant(s): Gareth Evans
Claimant Lawyers(s): William Bean
Respondent(s): Dominick & Dickerman LLC, Sands Brothers & Co., Ltd.
Respondent Lawyers(s): Gail Fanelli, Robert M. Hladek
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
23-0132811/06/2023Claimant(s): Gareth Evans
Claimant Lawyers(s): William Bean
Respondent(s): Dominick & Dickerman LLC
Respondent Lawyers(s): Robert M. Hladek
Arbitrator(s): Ira A. Auerbach
Hearing Site: New York, NY
17-0193004/07/2020Claimant(s): Michael Campbell, Dominick & Dickerman LLC
Claimant Lawyers(s): Edward James Little
Respondent(s): Gary Wunderlich, Wunderlich Securities.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Jill I. Gross, Joel B. Finard, A. Rene Hollyer
Hearing Site: New York, NY
17-0312402/04/2019Claimant(s): Dominick & Dickerman LLC
Claimant Lawyers(s): George O. Richardson
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jane L. Myers
Arbitrator(s): Stanley F. Meyerson, Carl A. Goldman, Emily M. Altman
Hearing Site: New York, NY

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