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FINRA Awards for Anita Rae Shapiro

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Displaying 10 out of 29 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0290704/03/2024Claimant(s): Matthew Adrian
Claimant Lawyers(s): Everett Pritchard
Respondent(s): OSAIC Wealth
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
22-0220307/03/2023Claimant(s): Brett Weichbrod
Claimant Lawyers(s): Christina Z Vourakis
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
22-0181905/11/2023Claimant(s): Patrick Lowe
Claimant Lawyers(s): Robert Jay Moses
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kathleen Salvaty
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
23-0017104/13/2023Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Howard Rowen
Respondent Lawyers(s): Howard Steven Rowen
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
22-0041201/10/2023Claimant(s): Kenneth South
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Ronald L. Cameron, Blaine Smith, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
22-0041411/07/2022Claimant(s): Kenneth South
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Mario H. Metzger, Michael Harrison, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
22-0003109/08/2022Claimant(s): Joseph Sturniolo
Claimant Lawyers(s): Michael Bessette
Respondent(s): Geneos Wealth Management
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
21-0187505/20/2022Claimant(s): Francis Tran
Claimant Lawyers(s): Samantha Pastor
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Emma M. Tomsick
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
21-0220004/14/2022Claimant(s): Keys Tinney
Claimant Lawyers(s): Harris Freedman
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
20-0365109/16/2021Claimant(s): Bradley Thompson
Claimant Lawyers(s): Harris Freedman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO

29 Results

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