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FINRA Awards for David Stein

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0284007/01/2022Claimant(s): Stephen Barry
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Annamaria Boccia Smith, David Stein, Peter Whittingham
Hearing Site: New York, NY
19-0140308/16/2021Claimant(s): Katalyst Securities LLC
Claimant Lawyers(s): Adam B. Oppenheim
Respondent(s): Marker Therapeutics.
Respondent Lawyers(s): Eric A. Kuwana
Arbitrator(s): John F. Duane, Robert E. Anderson, David Stein
Hearing Site: New York, NY

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