FINRA Awards for Thomas J. McCabe

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
22-01255	03/02/2023	Claimant(s): Serge Parakhnevich Claimant Lawyers(s): Thomas J. McCabe Respondent(s): Aegis Capital Corp., PHX Financial. Respondent Lawyers(s): Kevin Meade, Phillip McKie Arbitrator(s): Lise Gabrielle Hunter, Rena E. Grossfield, April D. Bowie Hearing Site: New York, NY
21-00378	05/28/2021	Claimant(s): Jeffrey Krug Claimant Lawyers(s): Thomas J. McCabe Respondent(s): BNP Paribas Securities Corp. Respondent Lawyers(s): John DiNapoli Arbitrator(s): Jill Pilgrim Hearing Site: New York, NY
14-01312	08/11/2015	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Sandra D. Grannum Respondent(s): Nick Hsieh Respondent Lawyers(s): Thomas J. McCabe Arbitrator(s): Richard W. Cutler, Michele S. Riley, Mark J. Happe Hearing Site: New York, NY
09-05934	07/11/2011	Claimant(s): HAP Trading Claimant Lawyers(s): Thomas J. McCabe Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Gabrielle Gould Arbitrator(s): Robert L. Spangler, Allan N. Taffet, Mark J. Happe Hearing Site: New York, NY