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FINRA Awards for Bruce K. Isenberg

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Displaying 10 out of 27 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0268108/16/2019Claimant(s): Mark Gilbert
Claimant Lawyers(s): Stuart H. Singer
Respondent(s): Brian Lowenthal, Eileen Berman
Respondent Lawyers(s): Jonathan B. Butler
Arbitrator(s): Joseph J. Slotnik, Bruce K. Isenberg, Robert J. Buchner
Hearing Site: Boca Raton, FL
18-0041401/18/2019Claimant(s): Michael Halperin
Claimant Lawyers(s): Michael Bessette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
15-0331808/29/2017Claimant(s): Thomas Moran
Claimant Lawyers(s): Craig Stein
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Bruce K. Isenberg, Donald Theodore Ryce, Jay Eng
Hearing Site: Boca Raton, FL
15-0171912/10/2015Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): David Hofer
Respondent Lawyers(s): David Richard Hofer
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
15-0121310/09/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
14-0242705/14/2015Claimant(s): Scott Goodkind
Claimant Lawyers(s): Craig D Stein
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph L. Bernstein, Bruce K. Isenberg, Gustavus L. Pearthree
Hearing Site: Boca Raton, FL
14-0158210/20/2014Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael Taaffe
Respondent(s): Stephen Ridgely
Respondent Lawyers(s): Stephen Eldridge Ridgely
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
13-0159710/10/2013Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
12-0264905/02/2013Claimant(s): Sean Fetterman
Claimant Lawyers(s): Jonathan C Schwartz
Respondent(s): Karin Fowler
Respondent Lawyers(s): Bradford M. Gucciardo
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
Expungement
10-0189905/04/2012Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): Walter Vazquez
Respondent Lawyers(s): Walter Vazquez
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL

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