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FINRA Awards for Capital One Investing

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0287805/24/2024Claimant(s): Raymond Chera
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Capital One Investing
Respondent Lawyers(s): Ted A. Gehring
Arbitrator(s): Ira A. Auerbach
Hearing Site: New York, NY
18-0113302/25/2019Claimant(s): Capital One Investing
Claimant Lawyers(s): James A. Nofi
Respondent(s): Guiseppe Gigliotti
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Henry F. Minnerop, Ted M. Rosen, Peter A. Seibel
Hearing Site: New York, NY
16-0298703/02/2017Claimant(s): Capital One Investing
Claimant Lawyers(s): Todd Ratner
Respondent(s): Daniel Nelson
Respondent Lawyers(s): Daniel Joseph Nelson
Arbitrator(s): Simon S. Kogan, Anthony Michael Sabino, Ariel Berschadsky
Hearing Site: New York, NY

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