FINRA Awards for Rochdale Securities LLC

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
16-02256	03/01/2018	Claimant(s): Rochdale Securities LLC Claimant Lawyers(s): Aaron A. Romney Respondent(s): Carl Acebes, Daniel Crowley, Hal Tunick, Harlan Sender, Kristen Talgo, Quad Capital Respondent Lawyers(s): Aaron A. Romney, Michael A. Kleinman, Paul W. Ryan Arbitrator(s): Leonard M. Bakal, Gregory J. Getz, Phillip Weitzman Hearing Site: New York, NY
14-01061	02/23/2016	Claimant(s): Rochdale Securities LLC Claimant Lawyers(s): Aaron Romney Respondent(s): Daniel Crowley, Pershing LLC Respondent Lawyers(s): Christopher J. Major, Daniel R. Korb Arbitrator(s): Paul Bennett Marrow, Michele S. Riley, Raymond A. Urci Hearing Site: New York, NY
12-04321	11/21/2013	Claimant(s): Brandon Dunn, Craig Bonder, Michael Glover Claimant Lawyers(s): Jonathan S. Sack Respondent(s): Daniel Crowley, Rochdale Securities LLC Respondent Lawyers(s): Christopher J. Major Arbitrator(s): Paul J. Camilleri, Peter A. Goldman, Joseph I. Liebman Hearing Site: New York, NY
13-00338	10/17/2013	Claimant(s): John Ivarone Claimant Lawyers(s): John Ivarone Respondent(s): Rochdale Securities LLC Respondent Lawyers(s): Christopher J. Major Arbitrator(s): Hugh N. Fryer Hearing Site: New York, NY