FINRA Awards for Richard S. Zaifert

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Displaying 41-44 out of 44 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
12-03797	02/02/2015	Claimant(s): Marcos Bowers Claimant Lawyers(s): Jeffrey R. Sonn Respondent(s): HSBC Securities (USA) Inc. Respondent Lawyers(s): Daniel R. Korb, Jr. Arbitrator(s): Richard S. Zaifert, John C. Holmes, Michael S. Kozlow Hearing Site: Miami, FL
13-02288	12/22/2014	Claimant(s): Morgan Stanley, MSSB FA Notes Holdings Claimant Lawyers(s): Laura J. Starr Respondent(s): Gaetan Gagne Respondent Lawyers(s): Julie Elizabeth Hough Arbitrator(s): Richard S. Zaifert Hearing Site: Boca Raton, FL
13-02534	03/11/2014	Claimant(s): William Spalding Claimant Lawyers(s): Stephen E. Hudson Respondent(s): Securities America. Respondent Lawyers(s): Elaine M. Rice Arbitrator(s): Daniel H. Yaffe, Richard S. Zaifert, Laura A. Ledford Hearing Site: Atlanta, GA
12-01847	12/10/2012	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Laura J. Starr Respondent(s): Roger Haigney Respondent Lawyers(s): Roger Gerard Haigney Arbitrator(s): Richard S. Zaifert, Karen Z. Fischer, Daniel P. Lund Hearing Site: Ft. Lauderdale, FL