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FINRA Awards for John L. Einstein

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0242812/16/2010Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Sherry Maynard
Respondent Lawyers(s): John L. Einstein
Arbitrator(s): Carol M. Stoner
Hearing Site: Columbus, OH
08-0361810/01/2009Claimant(s): Ameriprise Financial Services., Ameriprise Financial.
Claimant Lawyers(s): John L. Einstein
Respondent(s): Martin Smith
Respondent Lawyers(s): Musa L. Eubanks
Arbitrator(s): David L. Ruderman, Gregory R. Banasz, David Paul Clark
Hearing Site: Baltimore, MD

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