FINRA Awards for Nickolas F. Monteforte

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Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
16-00164	09/27/2016	Claimant(s): Timothy Davis Claimant Lawyers(s): Deborah Gale Evans Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Andrea Greene Arbitrator(s): Scott K. Shaw, Nickolas F. Monteforte, John Francis Markuns Hearing Site: Boston, MA
12-00889	03/13/2015	Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Leo Kogan Respondent(s): Roger Coe Respondent Lawyers(s): Scot Schneiderman Arbitrator(s): Robert J. Ambrogi, Nickolas F. Monteforte, Joseph C. Tully Hearing Site: Boston, MA
13-03113	02/26/2015	Claimant(s): Peter Cushing Claimant Lawyers(s): Todd Zuckerbrod Respondent(s): LPL Financial LLC Respondent Lawyers(s): David J. Freniere Arbitrator(s): Ericka B. Gray, Nickolas F. Monteforte, Jennifer Goodreau Gonzalez Hearing Site: Boston, MA
13-00988	06/16/2014	Claimant(s): Michael Bombardier Claimant Lawyers(s): Christine E. Goodrich Respondent(s): Woodbury Financial Services. Respondent Lawyers(s): Courtney R. Reid Arbitrator(s): Robert H. Watts, Nickolas F. Monteforte, Joseph Charles Kennedy Hearing Site: Montpelier, VT
10-03549	07/13/2011	Claimant(s): Deutsche Bank Securities. Claimant Lawyers(s): Andrew T. Solomon Respondent(s): Martin Joyce Respondent Lawyers(s): Megan E. Perrotta Arbitrator(s): Chesley Oriel, William S. Tagerman, Nickolas F. Monteforte Hearing Site: Boston, MA