FINRA Awards for Andrew R. Harvin

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Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
19-03676	03/14/2022	Claimant(s): Jayme Fowler Claimant Lawyers(s): Andrew R. Harvin Respondent(s): Invesco Distributors., Oppenheimerfunds Distributor. Respondent Lawyers(s): Adam M. Harris Arbitrator(s): Peter A. Goldman, Barry Steven Port, William Marsillo Hearing Site: New York, NY
14-03770	03/30/2016	Claimant(s): UBS Financial Services Inc., UBS Credit Corp. Claimant Lawyers(s): Megan A. Smith Respondent(s): David Lavine Respondent Lawyers(s): Andrew R. Harvin Arbitrator(s): James A. Parker, Ann Bradford Ligums, G. Dennis Sheehan Hearing Site: Houston, TX
09-04266	05/28/2010	Claimant(s): Smh Capital Inc. Claimant Lawyers(s): Andrew R. Harvin Respondent(s): Patricia Bonavito Respondent Lawyers(s): Patricia Bonavito Arbitrator(s): Joseph D. Cosgrove, Judith C. Greene, Ronald J. Colombo Hearing Site: New York, NY
08-04196	02/17/2010	Claimant(s): SMH Capital. Claimant Lawyers(s): Andrew R. Harvin Respondent(s): Louis Berkowitz Respondent Lawyers(s): Jeffrey L. Cox Arbitrator(s): Kalman J. Lester, Gary Paul Whorton, Eugene D. Mirabello Hearing Site: Boca Raton, FL
08-04195	01/25/2010	Claimant(s): SMH Capital. Claimant Lawyers(s): Andrew R. Harvin Respondent(s): Alan Pacella Respondent Lawyers(s): Jeffrey L. Cox Arbitrator(s): Robert K. Ruskin, Richard Andrew Cahlin, Lisa Marie Macci Hearing Site: Boca Raton, FL