FINRA Awards for Barbara M. Roth

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 6 out of 6 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-00633	01/14/2022	Claimant(s): Michael Mayo Claimant Lawyers(s): Steven G. Eckhaus Respondent(s): CLSA Americas Respondent Lawyers(s): Barbara M. Roth Arbitrator(s): Ernesto V. Luzzatto, Ellyn S. Roth, Jason Scott Eveleth Hearing Site: New York, NY
17-02796	04/03/2019	Claimant(s): Mark Connelly Claimant Lawyers(s): Kevin D. Galbraith Respondent(s): Clsa Americas Respondent Lawyers(s): Barbara M. Roth Arbitrator(s): Philip M. Mandel, Pamela H. Roderick, Martin L. Feinberg Hearing Site: New York, NY
17-02787	01/15/2019	Claimant(s): David Lipschitz Claimant Lawyers(s): Kevin D. Galbraith Respondent(s): CLSA Americas Respondent Lawyers(s): Barbara M. Roth Arbitrator(s): Joseph N. Stineman, Edward W. Morris, Susan Romano Hearing Site: New York, NY
08-00873	06/24/2010	Claimant(s): Zain Abdullah Claimant Lawyers(s): Jeffrey L. Liddle Respondent(s): Calyon Securities (USA) Inc Respondent Lawyers(s): Barbara M. Roth Arbitrator(s): Howard Breindel, Mark Mendley, Mark J. Happe Hearing Site: New York, NY
08-04000	02/17/2010	Claimant(s): Jerome Jamtel Claimant Lawyers(s): Andrew J. Melnick Respondent(s): Calyon Securities (USA) Inc. Respondent Lawyers(s): Barbara M. Roth Arbitrator(s): Edward G. Toptani, Carole L. Green, Judith P. Brooks Hearing Site: New York, NY
08-01653	10/15/2009	Claimant(s): Francois Pages Claimant Lawyers(s): Hollis Gonerka Bart Respondent(s): Calyon Securities (USA) Inc Respondent Lawyers(s): Barbara M. Roth Arbitrator(s): Annette B. Meyers, Michael S. Lazan, Paul R. Walsh Hearing Site: New York, NY