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FINRA Awards for Lori H. Carena

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0030111/24/2023Claimant(s): Kenneth Bonal
Claimant Lawyers(s): Seth N. Bursky
Respondent(s): Avalon Partners.
Respondent Lawyers(s): Concetto Kevin Barone
Arbitrator(s): Neil G. Gargiulo, Lori H. Carena, Susan Romano
Hearing Site: New York, NY
12-0436104/16/2014Claimant(s): Ilan Preis
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Ted M. Rosen, Lori H. Carena, Jeffrey P. Bachmann
Hearing Site: New York, NY
13-0026611/22/2013Claimant(s): Rinico Sawyer
Claimant Lawyers(s): Robert Heim
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Fred S. Pieroni, Lori H. Carena, Robert J. Miller
Hearing Site: New York, NY

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