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FINRA Awards for Montgomery G. Griffin

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0062108/28/2012Claimant(s): Deborah Schwartz
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Thomas Kim, Broadhaven Capital Partners, Pritzker Company, The UNX Companies LLC, UNX LLC
Respondent Lawyers(s): Michael E. Grenert, Todd R. Wulffson
Arbitrator(s): Montgomery G. Griffin, Anita Rae Shapiro, Daniel David Kopman
Hearing Site: Los Angeles, CA
11-0107112/19/2011Claimant(s): Cantella & Co..
Claimant Lawyers(s): Jay Lanstein
Respondent(s): Arthur Gerome
Respondent Lawyers(s): Arthur A. Gerome
Arbitrator(s): Roberta Haft, Montgomery G. Griffin, Marie Ann Stein
Hearing Site: Los Angeles, CA

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