FINRA Awards for John James McGovern

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Displaying 11-17 out of 17 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
19-02185	01/16/2020	Claimant(s): Martin Cunningham Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): John James McGovern Hearing Site: Manchester, NH
18-03361	03/26/2019	Claimant(s): Anthony Gambone Claimant Lawyers(s): Anthony Michael Gambone Respondent(s): Pruco Securities. Respondent Lawyers(s): Alan S. Brodherson Arbitrator(s): John James McGovern Hearing Site: Wilmington, DE
13-00267	12/30/2014	Claimant(s): CCO Investment Services Corp. Claimant Lawyers(s): David Belcher Respondent(s): Timothy Trifeletti Respondent Lawyers(s): Timothy Trifeletti Arbitrator(s): Alan J. Blocher, Noel B. Berman, John James McGovern Hearing Site: Philadelphia, PA
13-02195	12/09/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Jonathan Berg Respondent(s): Nicholas Perugino Respondent Lawyers(s): Nicholas L. Perugino Arbitrator(s): John James McGovern Hearing Site: Wilmington, DE
11-01131	09/17/2013	Claimant(s): Morgan Stanley Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Carl Watts, James Nastasi, Richard Braitman, Steven Brettler Respondent Lawyers(s): Michael J. Dunn, Samuel P. Mauch Arbitrator(s): Jim Geiger, Jack H. McNairy, John James McGovern Hearing Site: Philadelphia, PA
09-00257	02/11/2011	Claimant(s): Pasquale Didonato, D -Trade., D Trade, L.P., DSX., Solaris Alternative Capital Fund II, L.P, Solaris Alternative Capital Fund, Solaris Alternative Capital Partners, Solaris Asset Management Group LLC, Solaris Capital Market, Solaris Liquidation, L.L.C. Claimant Lawyers(s): Aaron Krauss Respondent(s): Est. of Ralph P. DiDonato by Margaret Ad Respondent Lawyers(s): Eric C. Milby Arbitrator(s): John James McGovern, Ethan L. Lewis, Catherine S. Kopley Hearing Site: Philadelphia, PA
08-04657	10/02/2009	Claimant(s): Stanley Gregor Claimant Lawyers(s): Joseph Sullivan Respondent(s): Commerce Capital Markets. Respondent Lawyers(s): Joseph G. Antinori Arbitrator(s): Benham Fuhrman, John James McGovern, Stephen J. Scherf Hearing Site: Philadelphia, PA