FINRA Awards for Charles Kleinbaum

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Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
13-01124	02/21/2014	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Jeffrey M. Csercsevits Respondent(s): Jason Buscaglia Respondent Lawyers(s): Jason Robert Buscaglia Arbitrator(s): Charles Kleinbaum Hearing Site: New York, NY
12-01577	08/06/2013	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Thomas B. Lewis Respondent(s): Darwin Campoverde Respondent Lawyers(s): Darwin Douglas Campoverde Arbitrator(s): Charles Kleinbaum Hearing Site: New York, NY
11-02354	07/16/2013	Claimant(s): Andrew Garrett Inc. Claimant Lawyers(s): Barry M. Bordetsky Respondent(s): Paula Moats Respondent Lawyers(s): Paula Leuchs Moats Arbitrator(s): Charles Kleinbaum Hearing Site: New York, NY
11-03603	07/15/2013	Claimant(s): E1 Asset Management. Claimant Lawyers(s): Charles M. O'Rourke Respondent(s): John Thomas Financial Respondent Lawyers(s): Robert M. Bursky Arbitrator(s): Charles Kleinbaum, Robert I. Adler, Jettie K. Thomas Hearing Site: New York, NY
10-05542	12/01/2011	Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Loretta M. Gastwirth Respondent(s): Fred Johnson Respondent Lawyers(s): Fred Johnson Arbitrator(s): Charles Kleinbaum, Denise N. Seegobin, David A. Schwarz Hearing Site: New York, NY