FINRA Awards for Alice E. Winkler

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Displaying 11-17 out of 17 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-02657	02/18/2021	Claimant(s): Everett Weinberger, William Giordano Claimant Lawyers(s): Jennifer P. Farrar Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn D. Perreault Arbitrator(s): Alice E. Winkler Hearing Site: New York, NY
20-01215	12/16/2020	Claimant(s): Michael Schwartz Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Northwestern Mutual Investment Services, Respondent Lawyers(s): Thomas K. Anderson Arbitrator(s): Alice E. Winkler Hearing Site: New York, NY
19-02958	05/26/2020	Claimant(s): Chuck Roberts Claimant Lawyers(s): Dochtor Kennedy Respondent(s): M. J. Whitman. Respondent Lawyers(s): Michael Carney Arbitrator(s): Alice E. Winkler Hearing Site: New York, NY
19-01454	01/02/2020	Claimant(s): Todd Silaika Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sara K. Yates Arbitrator(s): Alice E. Winkler Hearing Site: Albany, NY
15-02128	11/23/2016	Claimant(s): Kristin Ng Claimant Lawyers(s): Brittany Weiner Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Sandra D. Grannum Arbitrator(s): Alice E. Winkler Hearing Site: New York, NY
14-02150	12/30/2015	Claimant(s): Gregory Martino Claimant Lawyers(s): Philip M. Halpern Respondent(s): Charles Reiling, Francis Mitchell, Michael Donnelly, Coastal Equities. Respondent Lawyers(s): Dana S. Gloor, Daniel J. Donovan, Francis G. Mitchell Arbitrator(s): Henry F. Minnerop, Alice E. Winkler, David J. Weisenfeld Hearing Site: New York, NY
13-02349	05/06/2015	Claimant(s): David Goldstein Claimant Lawyers(s): Robert A. Wilkie Respondent(s): David Lerner Associates. Respondent Lawyers(s): Joseph C. Pickard Arbitrator(s): Alice E. Winkler Hearing Site: New York, NY