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FINRA Awards for LTD

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0072204/23/2010Claimant(s): White Pacific Securities.
Claimant Lawyers(s): Christopher Mader
Respondent(s): Spartan Securities Group, LTD
Respondent Lawyers(s): Elizabeth Campbell
Arbitrator(s): Nicholas J. Caputo, Mary Curran, Peter Anthony Sigal
Hearing Site: San Francisco, CA
07-0190205/21/2008Claimant(s): Jeffrey Mann, Paul Umansky, UMann Fund Management
Claimant Lawyers(s): Jeffrey Mann, Paul J. Umansky
Respondent(s): Triumph Global Securities, LTD
Respondent Lawyers(s): Alfred Ferrer
Arbitrator(s): Frank Muller, Peter A. Goldman, David Mark Sobel
Hearing Site: New York, NY

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