FINRA Awards for Denis Dice

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

Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
22-00712	02/15/2023	Claimant(s): Stephen Peiffer Claimant Lawyers(s): Jon-Jorge Aras Respondent(s): Voya Financial Advisors. Respondent Lawyers(s): Denis Dice Arbitrator(s): Jim Geiger, Lisette Lazinger Tarragano, George Aleman Hearing Site: Philadelphia, PA
22-01249	12/20/2022	Claimant(s): Stanley Cooper Claimant Lawyers(s): Denis Dice Respondent(s): Cetera Advisor Networks LLC Respondent Lawyers(s): David G. Smitham Arbitrator(s): Jim Geiger, Alan J. Blocher, Thomas R Nathan Hearing Site: Philadelphia, PA
22-00631	09/30/2022	Claimant(s): Kevin Nolan Claimant Lawyers(s): Denis Dice Respondent(s): Db Alex. Brown LLC Respondent Lawyers(s): Deutsche Banc Alex Brown Inc. Arbitrator(s): Richard E. Lauziere, Patricia M. Maher, Jay B. Bachar Hearing Site: Baltimore, MD
19-03575	04/04/2022	Claimant(s): Kimberly Hartman Claimant Lawyers(s): Brittany Weiner Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Denis Dice Arbitrator(s): Ellen F. Kandell, James Ray Eyler, Michele Francene Dandrea Hearing Site: Baltimore, MD