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FINRA Awards for Daniel A. Pollack

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0281110/16/2009Claimant(s): John Griff
Claimant Lawyers(s): Daniel A. Pollack
Respondent(s): National Banc Financial., National Bank of Canada Financial, Putnam Lovell NBF Securities.
Respondent Lawyers(s): Lauren Reiter Brody
Arbitrator(s): John B. Sprung, Alan Steven Brodherson, James D. Muir
Hearing Site: New York, NY
07-0187402/22/2008Claimant(s): Robert Woods, Todd Slotkin
Claimant Lawyers(s): Daniel A. Pollack
Respondent(s): Natixis Capital Markets., Natixis Securities North America.
Respondent Lawyers(s): Howard J. Rubin
Arbitrator(s): Steven J. Petrie, William C. Struyk, John Murray Carroll
Hearing Site: New York, NY

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