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FINRA Awards for Jefferies LLC

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Displaying 10 out of 19 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0173804/16/2024Claimant(s): Qi Wen
Claimant Lawyers(s): William Bean
Respondent(s): Jefferies LLC
Respondent Lawyers(s): Andrew Shapren
Arbitrator(s): John Warner Lowe
Hearing Site: New York, NY
19-0215803/08/2023Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Patrick McCarthy
Respondent Lawyers(s): Pearl Zuchlewski
Arbitrator(s): Bernard A. Kesselman, Elizabeth Gilbert, William A. Rome
Hearing Site: New York, NY
19-0038701/03/2023Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Harry D. Frisch, Sara Kula, Claudine Caracciolo
Hearing Site: New York, NY
18-0055411/15/2021Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Michael Kamras
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Michael G. Clark, Robert C. Albini, Adam Michael Porter
Hearing Site: Los Angeles, CA
18-0055309/30/2021Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Dean Decker
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Michael Harrison, Laurent C. Vonderweidt, Cynthia Cashman Makin
Hearing Site: Los Angeles, CA
20-0398706/08/2021Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew Shapren
Respondent(s): Robert Wong
Respondent Lawyers(s): Robert T. Wong
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
16-0345003/26/2021Claimant(s): Cantor Fitzgerald & Co.
Claimant Lawyers(s): Nirav S. Shah
Respondent(s): Jefferies LLC
Respondent Lawyers(s): Joanna Wright
Arbitrator(s): Larry H. Irom, John J. Kilkenny, Joseph L. Calabrese
Hearing Site: New York, NY
18-0055603/05/2021Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Edward Swigert
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Sheldon M. Jaffe, Kendall C. Reed, Frank Cronin
Hearing Site: Los Angeles, CA
16-0212202/09/2021Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J Shapren
Respondent(s): Jason Schoenholtz
Respondent Lawyers(s): Denis Kelleher
Arbitrator(s): Robert J. Miller, James M. Rhodes, Anna Lascar
Hearing Site: New York, NY
17-0122903/17/2020Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Jonathan Moneypenny
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Howard L. Sobel, Kevin B. Naughten, Eric Zaidins
Hearing Site: New York, NY

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