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FINRA Awards for Barclays Capital Inc.

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Displaying 10 out of 63 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0016404/06/2023Claimant(s): Josef Najar
Claimant Lawyers(s): David E. Robbins
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): G. Wayne Hillis, Jr.
Arbitrator(s): Fred S. Pieroni, Edward W. Morris, Joanne Basso Mack
Hearing Site: New York, NY
20-0037709/23/2021Claimant(s): Benjamin Mahdavi
Claimant Lawyers(s): Frances Menzer
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Scott T. Nonaka
Arbitrator(s): Barbara M. Anscher
Hearing Site: San Francisco, CA
20-0000807/14/2021Claimant(s): Howard Alexander
Claimant Lawyers(s): Keith Markel
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): James D. Yellen, Albert Rizzo, Piotr Seweryn Wojtowicz
Hearing Site: New York, NY
20-0173603/29/2021Claimant(s): Philip Weyhe
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): G. Wayne Hills
Arbitrator(s): Roger B. Jacobs
Hearing Site: New York, NY
18-0128802/08/2021Claimant(s): David Romhilt
Claimant Lawyers(s): Sandra Lahens
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Ross E. Firsenbaum
Arbitrator(s): Douglas F. Stone, Ivan W. Harper, Michael S. Lazan
Hearing Site: New York, NY
19-0218801/08/2021Claimant(s): Sandra Etienne
Claimant Lawyers(s): Locksley O. Wade
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Anna Matsuo
Arbitrator(s): Madelon M. Rosenfeld, Robert E. Anderson, Roger B. Jacobs
Hearing Site: New York, NY
19-0007705/12/2020Claimant(s): Amit Mehrotra
Claimant Lawyers(s): David B. Wechsler
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Roger Loeb, Judith B Weinstock, Gerald M. Levine
Hearing Site: New York, NY
18-0204211/26/2019Claimant(s): Vikash Jha, Vikram Ramani
Claimant Lawyers(s): Brian Heller
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Alexander J. Kellermann
Arbitrator(s): Bryan Lane Berson, Michael Peter Graff, Alan L. Stein
Hearing Site: New York, NY
17-0186210/16/2018Claimant(s): Russell Katz
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Robert A. Buhlman
Arbitrator(s): Roger B. Jacobs, Hashim Ghadiali, Michael McDermott
Hearing Site: New York, NY
16-0335005/18/2018Claimant(s): Thomas Lee
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Patrick W. Shea
Arbitrator(s): John J. Vesey, Kenneth F. Leder, John Michael Richardson
Hearing Site: New York, NY

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