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FINRA Awards for Albany, NY

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Displaying 31-38 out of 38 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0660206/15/2010Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Frank Polsinello
Respondent Lawyers(s): Frank Joseph Polsinello
Arbitrator(s): Jack Friedman
Hearing Site: Albany, NY
08-0352301/22/2010Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jordan D. Becker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Chrys
Respondent Lawyers(s): Jeffrey J. Calabrese, Louis M. Lagalante
Arbitrator(s): Jay F. Donnaruma, Stuart M. Schwartz, Ruth A. Ihne
Hearing Site: Albany, NY
09-0124612/18/2009Claimant(s): Joseph Ventura
Claimant Lawyers(s): Wayne A. Smith
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Loren Schechter
Arbitrator(s): Frank E. Wolf, Kenneth Dymond, Alan V. Iselin
Hearing Site: Albany, NY
06-0442202/24/2009Claimant(s): Dennis Mack
Claimant Lawyers(s): Richard L. Burstein
Respondent(s): George McAvoy, Matthew Smith, CP Capital Management, Cadaret, Grant & Co..
Respondent Lawyers(s): James Feathersonhaugh, Jeffrey A. Sellers
Arbitrator(s): David N. Brainin, Stuart M. Schwartz, Sheldon Dinowitz
Hearing Site: Albany, NY
06-0443802/24/2009Claimant(s): George Mcavoy, Matthew Smith, CP Capital Management.
Claimant Lawyers(s): James Feathersonhaugh
Respondent(s): Dennis Mack, Capital Retirement Solutions
Respondent Lawyers(s): Richard L. Burstein
Arbitrator(s):
Hearing Site: Albany, NY
08-0008701/21/2009Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ken O'Connor
Respondent(s): Matthew McCabe
Respondent Lawyers(s): Matthew Robert McCabe
Arbitrator(s): J Lawrence Jones, C. Henry Lucas
Hearing Site: Albany, NY
06-0412511/27/2007Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Mercadante
Respondent Lawyers(s): Michael Mercadante
Arbitrator(s): James J. Brearton, Roland M. Cavalier, Ruth A. Ihne
Hearing Site: Albany, NY
07-0143609/20/2007Claimant(s): McGinn Smith & Co..
Claimant Lawyers(s): Joseph B. Carr
Respondent(s): Derek Paulsen, Seth Stone
Respondent Lawyers(s): Derek Douglas Paulsen, Seth Michael Stone
Arbitrator(s): Frank Irizarry
Hearing Site: Albany, NY

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