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FINRA Awards for Howard B. Cohen

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0170802/20/2014Claimant(s): Scott Rivard
Claimant Lawyers(s): Scott W Rivard
Respondent(s): Frank Black, Southeast Investments, N.C. Inc.
Respondent Lawyers(s): Frank Harmon Black
Arbitrator(s): Howard B. Cohen
Hearing Site: Buffalo, NY
12-0110608/13/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): David Ayres
Respondent Lawyers(s): Timothy J. O'Connor
Arbitrator(s): Howard B. Cohen, Rocco Michael Scanza, Francis Xavior Daumen
Hearing Site: Syracuse, NY
10-0032704/15/2011Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Jaime Baumler
Respondent Lawyers(s): David K. Silverberg
Arbitrator(s): Howard B. Cohen
Hearing Site: Buffalo, NY

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