FINRA Awards for Richard D. Rosenbloom

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
19-02748	04/27/2020	Claimant(s): Michael Hearn Claimant Lawyers(s): Michael Christopher Hearn Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Richard D. Rosenbloom, Robert E. Anderson, Francis Xavior Daumen Hearing Site: Syracuse, NY
14-01296	05/01/2015	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Joseph Baumgarten Respondent(s): Michael Dickstein Respondent Lawyers(s): Todd Gutfleisch Arbitrator(s): James J. Brearton, Richard D. Rosenbloom, James Howard Pulver Hearing Site: Syracuse, NY
11-04163	09/25/2012	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Christopher S. Griesmeyer Respondent(s): Mark Manly Respondent Lawyers(s): Mark E. Manly Arbitrator(s): Richard D. Rosenbloom Hearing Site: Buffalo, NY
06-04943	02/17/2010	Claimant(s): Dann Neale, Kevin Cougle Claimant Lawyers(s): Kevin J. Mirch Respondent(s): HSBC Securities (USA) Inc. Respondent Lawyers(s): Brian J. Ellis Arbitrator(s): Richard D. Rosenbloom, Joan B. Alexander, Frederick N.C. Jerauld Hearing Site: Buffalo, NY