FINRA Awards for Alvin L. Fishman

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-04057	01/10/2022	Claimant(s): Intellivest Securities. Claimant Lawyers(s): Daniel H. Kolber Respondent(s): Growth Capital Services. Respondent Lawyers(s): Alvin L. Fishman Arbitrator(s): Paul Joseph McIntyre, Brian Walsh Devlin, Richard Moore Hearing Site: Atlanta, GA
17-00901	11/22/2017	Claimant(s): Victoria Mueller Claimant Lawyers(s): Alvin L. Fishman Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Garrett R. Wynne Arbitrator(s): Edward Blumstein, Lucia A. Aschettino, Melanie Merchant Cunningham Hearing Site: Hartford, CT
11-03847	12/03/2012	Claimant(s): Casey Securities Claimant Lawyers(s): Michael P. Guta Respondent(s): Gloria Casey, Richard Casey, Casey Family Trust, 1996 Respondent Lawyers(s): Alvin L. Fishman Arbitrator(s): Mary Curran, William J. Petzel, Ronald Chun Hearing Site: San Francisco, CA
07-01383	09/08/2008	Claimant(s): Wells Fargo Investments Claimant Lawyers(s): Gregory B. Simon Respondent(s): Krittibas Ray Respondent Lawyers(s): Alvin L. Fishman Arbitrator(s): Mary Curran, Robert G. Miller, Jerold R. Babin Hearing Site: San Francisco, CA
06-05331	11/09/2007	Claimant(s): Christopher Allick Claimant Lawyers(s): David H.S. Commins Respondent(s): Peter Fader, Urchin Capital Partners LLC Respondent Lawyers(s): Alvin L. Fishman Arbitrator(s): Peter M Brabbee, Barbara M. Anscher, Osei J Adoma Hearing Site: San Francisco, CA