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FINRA Awards for Lester M. Rosenberg

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0300103/13/2013Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Deborah Dickstein
Respondent(s): Richard Mercier
Respondent Lawyers(s): Richard Mark Mercier
Arbitrator(s): Lester M. Rosenberg
Hearing Site: Miami, FL
11-0390704/09/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Luis Restrepo
Respondent Lawyers(s): Luis Fernando Restrepo
Arbitrator(s): Lester M. Rosenberg
Hearing Site: Miami, FL
11-0194011/22/2011Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Richard Brooks
Respondent Lawyers(s): David M. Lazarus
Arbitrator(s): Lester M. Rosenberg
Hearing Site: Miami, FL

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