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FINRA Awards for Stuart Rothenstein

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0326101/23/2012Claimant(s): Ronald Krolick
Claimant Lawyers(s): David B. Wechsler
Respondent(s): Natixis North America Inc., Natixis Securities North America Inc.
Respondent Lawyers(s): Adam M. Lupion
Arbitrator(s): Edwin S. Mruk, Lucas A. Ferrara, Stuart Rothenstein
Hearing Site: New York, NY
11-0264910/21/2011Claimant(s): Advanced Equities.
Claimant Lawyers(s): Grant R. Cornehls
Respondent(s): Frank Mazzola, Jared Carmel, Felix Investments LLC
Respondent Lawyers(s): Barry M. Bordetsky, Catania Facher
Arbitrator(s): Marguerite B. Filson, Stuart Rothenstein, Allan E. Johnson
Hearing Site: New York, NY
06-0189201/23/2008Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jennifer R. Seltenrich
Respondent(s): John Kennedy
Respondent Lawyers(s): Raymond Nardo
Arbitrator(s): Norris D. Wolff, Stuart Rothenstein, Royce Russell
Hearing Site: New York, NY

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