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FINRA Awards for James M. Griffin

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0032701/30/2013Claimant(s): Craig Meisner, David Taylor, Ravi Nursey, Thomas Roth, Timothy Madigan, Vincent Parisot
Claimant Lawyers(s): James M. Griffin
Respondent(s): Commerz Markets LLC
Respondent Lawyers(s): Kenneth J. Kelly
Arbitrator(s): Thomas E. Duggan, David I. Goldblatt, James M. Rhodes
Hearing Site: New York, NY
09-0349301/25/2011Claimant(s): Amy Dunn, Brian Langille, Christian Miller, Ricardo Zulliger, Tanya Lincevski, Vincent Bilello, Vincent Faust
Claimant Lawyers(s): James M. Griffin
Respondent(s): Dresdner Kleinwort Securities LLC
Respondent Lawyers(s): Kenneth J. Kelly
Arbitrator(s): Gary W. Sherbell, Edwin H. Nordlinger, Kyle Maldiner
Hearing Site: New York, NY
09-0466811/03/2010Claimant(s): Anthony Cronin, Dusan Nogulovic
Claimant Lawyers(s): James M. Griffin
Respondent(s): Dresdner Kleinwort Securities LLC
Respondent Lawyers(s): Diana Constantino Gomprecht
Arbitrator(s): Margaret M McQueeney, David S. Billet, Francis J. LaSalla
Hearing Site: New York, NY

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