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FINRA Awards for Richard L. Herzfeld

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0137403/26/2020Claimant(s): Kirk Katzburg
Claimant Lawyers(s): Richard Herzfeld
Respondent(s): David Braunlich, DLB Securities L.L.C.
Respondent Lawyers(s): David Lonsdale Braunlich
Arbitrator(s): Paul S. Biederman, Ellyn S. Roth, William Arthur Ginty
Hearing Site: New York, NY
07-0126903/20/2008Claimant(s): Daniel Morris
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Jeff Margolis, Aurora Capital LLC
Respondent Lawyers(s): G. Robert Abrams, Jeff Eliot Margolis
Arbitrator(s): Richard L. Herzfeld, Evdokia Sofos, Jonathan P. Russell
Hearing Site: New York, NY

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