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FINRA Awards for Guillermo L. Bosch

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Displaying 11-19 out of 19 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0441005/28/2019Claimant(s): Theodore Durante
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): TFS Securities.
Respondent Lawyers(s): Tammy S. Case
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
17-0218207/18/2018Claimant(s): Richard Grobman
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Guillermo L. Bosch, Sally Cheung, David Arthur Christiansen
Hearing Site: Philadelphia, PA
17-0336107/18/2018Claimant(s): Mark Kruman
Claimant Lawyers(s): Michael Bessette
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
17-0056101/10/2018Claimant(s): Timothy Foster
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
10-0409411/01/2017Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Kenneth M. Murray, Thomas J. Momjian
Respondent(s): Daniel Thompson, Stephen Walker
Respondent Lawyers(s): Gary Green, Thomas J. Momjian
Arbitrator(s): Guillermo L. Bosch, John T. Hausladen, Roger Frazier Cox
Hearing Site: Philadelphia, PA
09-0028504/24/2014Claimant(s): Mark Singer
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira Rosenstein
Arbitrator(s): Guillermo L. Bosch, Stephen T. Mayhew, Alan J. Blocher
Hearing Site: Philadelphia, PA
12-0151908/23/2012Claimant(s): Alec Price
Claimant Lawyers(s): Carlos Ricca
Respondent(s): Lynn Schreiber, Neil Sperling
Respondent Lawyers(s): Kyle Kulzer
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
Expungement
11-0440406/19/2012Claimant(s): International Financial Solutions.
Claimant Lawyers(s): Joel R. Beck
Respondent(s): Walter Clark
Respondent Lawyers(s): Walter Lee Clark
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Baltimore, MD
09-0548901/11/2011Claimant(s): George Saltzman
Claimant Lawyers(s): David F. McComb
Respondent(s): Jeffrey Smith, Morgan Stanley
Respondent Lawyers(s): Allison J. Adler
Arbitrator(s): Guillermo L. Bosch, Elizabeth A. McKinney, Richard N. Kelmans
Hearing Site: Philadelphia, PA

19 Results

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