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FINRA Awards for William I. Carmen

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0059510/05/2012Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill Clarke
Respondent(s): Hilary O'Malley, Kevin O'Malley
Respondent Lawyers(s): Hilary Elizabeth O'Malley, Kevin James O'Malley
Arbitrator(s): Dallas Whitney Coffman, Tom L. Peterson, William I. Carmen
Hearing Site: Boston, MA
09-0578610/13/2011Claimant(s): Harley Kaplan, Beta Industries.
Claimant Lawyers(s): Chesley Oriel
Respondent(s): Timothy Shanahan, Compass Capital Corporation, Compass Securities Corporation
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Joan Stearns Johnsen, William I. Carmen, Zenon Charles Tencza
Hearing Site: Boston, MA

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