Potomac Analytics' Logo

FINRA Awards for Richard W. Epstein

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0134711/24/2023Claimant(s): Steven Hein
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Richard W. Epstein, Scott A. Eichhorn, Ellen Jane Vaughan
Hearing Site: Boca Raton, FL
22-0203306/06/2023Claimant(s): Molly Shrauner
Claimant Lawyers(s): Harris Freedman
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Richard W. Epstein
Hearing Site: Boca Raton, FL
18-0413612/11/2019Claimant(s): Robin Davis
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Kovack Securities Inc
Respondent Lawyers(s): Amy S. Towle
Arbitrator(s): Richard W. Epstein
Hearing Site: Boca Raton, FL
17-0085302/12/2018Claimant(s): Craig Price
Claimant Lawyers(s): John D. Stewart
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Frederick P. Hartman, Richard W. Epstein, Gilbert A. Schnirman
Hearing Site: Boca Raton, FL
15-0120412/01/2017Claimant(s): John Mulcahy
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Joseph Gieker, Keith Gregg, Capital Guardian
Respondent Lawyers(s): Sandro L. Ramos, Tina El Fadel
Arbitrator(s): Richard W. Epstein
Hearing Site: Boca Raton, FL
14-0352309/25/2015Claimant(s): Daniel Rosenberg
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Stacey N. Schmidt
Arbitrator(s): Richard W. Epstein, David E. Mowry, Andrew Jay Kohan
Hearing Site: Boca Raton, FL
12-0426503/13/2015Claimant(s): Laidlaw & Company (Uk) LTD.
Claimant Lawyers(s): Ross David Carmel
Respondent(s): Matthew Turner, Michael Moore
Respondent Lawyers(s): Matthew Turner, Michael T. Moore
Arbitrator(s): Jack Stein, John J. Hearn, Richard W. Epstein
Hearing Site: Boca Raton, FL
13-0183011/14/2013Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Andrew Froman
Respondent(s): Glenn Karant
Respondent Lawyers(s): Glenn Howard Karant
Arbitrator(s): Richard W. Epstein
Hearing Site: Boca Raton, FL

8 Results

Display: