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FINRA Awards for Michael Schwartzberg

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0370812/13/2018Claimant(s): Lionel Shaw
Claimant Lawyers(s): Garet D. O'Keefe
Respondent(s): Summit Brokerage Services.
Respondent Lawyers(s): Michael Schwartzberg
Arbitrator(s): Michelle Judy Brant, Alden Sharp Adkins, Roland Neil Burgess
Hearing Site: San Francisco, CA
11-0328906/18/2012Claimant(s): Wall Street Financial Group.
Claimant Lawyers(s): Michael Schwartzberg
Respondent(s): Walter Grenda
Respondent Lawyers(s): Walter Grenda
Arbitrator(s): Peter A.P. Dunlop
Hearing Site: Buffalo, NY
08-0221003/15/2010Claimant(s): Andrew McConnell
Claimant Lawyers(s): Michael Schwartzberg
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Robert S. Whitman
Arbitrator(s): Joel P. Mellis, Harry T. Walters, Christine Moore
Hearing Site: New York, NY
08-0044905/20/2009Claimant(s): Gordon Levey
Claimant Lawyers(s): Michael Schwartzberg
Respondent(s): Barret Naylor, Douglas Lowey, Brownstone Investment Group
Respondent Lawyers(s): Eric B. Fisher, Michael H. Ference
Arbitrator(s): Hugh N. Fryer, Peter A. Goldman, Michael F. Spellman
Hearing Site: New York, NY

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