FINRA Awards for Kathy N. Novick

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
15-01887	02/18/2016	Claimant(s): Ioana Cioc Claimant Lawyers(s): Mark David Hunter Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Michael E. Bury Arbitrator(s): Steven N. Ainbinder, Seth L. Finkel, Kathy N. Novick Hearing Site: Miami, FL
14-00563	11/18/2014	Claimant(s): Scott Weber Claimant Lawyers(s): Brian D. Elias Respondent(s): Morgan Stanley Respondent Lawyers(s): Brian C. Hale Arbitrator(s): Robert A. Sauerberg, Kathy N. Novick, Carolyn E. Moore Hearing Site: Boca Raton, FL
11-03929	03/04/2014	Claimant(s): Andrew Miller Claimant Lawyers(s): Arthur C. Koski Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Sara Soto Arbitrator(s): Steven Gerard Goerke, Gary M. Landau, Kathy N. Novick Hearing Site: Ft. Lauderdale, FL
07-00190	03/13/2008	Claimant(s): Sagepoint Financial. Claimant Lawyers(s): William Zeena Respondent(s): Humbert Michini, Paul Gaydos Respondent Lawyers(s): Humbert Michini, Paul Gaydos Arbitrator(s): Robert S. Natiss, Daniel H. Yaffe, Kathy N. Novick Hearing Site: Boca Raton, FL