FINRA Awards for Richard V. Adams

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
14-00401	05/07/2015	Claimant(s): Nicholas Barnes Claimant Lawyers(s): Adam Weinstein Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Mark D. Knoll Arbitrator(s): Margaret Leggett Tarver, Robert E. Anderson, Richard V. Adams Hearing Site: Newark, NJ
98-00187	02/23/2009	Claimant(s): Robert O'Brien Claimant Lawyers(s): Robert J. O'Brien Respondent(s): Deborah Sachs, John Sabo, Kenneth Rickel Respondent Lawyers(s): Deborah K. Sachs, Dereck Wolman, John Charles Sabo Arbitrator(s): Richard P. Ryder, James J. Noone, Richard V. Adams Hearing Site: New York, NY
08-00520	02/06/2009	Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): David Smith Respondent(s): Vincent Monaco Respondent Lawyers(s): Vincent M. Monaco Arbitrator(s): Gerald A. Guild, J. Kenneth Lyons, Richard V. Adams Hearing Site: Newark, NJ
07-02690	10/24/2008	Claimant(s): Kayvan Karoon Claimant Lawyers(s): George Brunelle Respondent(s): First Montauk Securities Corp. Respondent Lawyers(s): Robert I. Rabinowitz Arbitrator(s): David L. Becker, Philip W Gaffney, Richard V. Adams Hearing Site: Newark, NJ