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FINRA Awards for Joseph Sullivan

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0091108/23/2017Claimant(s): Stacy Marcus
Claimant Lawyers(s): Alexander H. Gardner
Respondent(s): Heron Financial Group LLC
Respondent Lawyers(s): Joseph Sullivan
Arbitrator(s): Howard L. Sobel, Mary Lou McGanney, Ronald Leven
Hearing Site: New York, NY
07-0353611/04/2009Claimant(s): Michael Lewis
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Nordic Partners.
Respondent Lawyers(s): Joseph Sullivan
Arbitrator(s): Veera V. Konka, Preston V. Pumphrey, Howard Weitz
Hearing Site: New York, NY
08-0465710/02/2009Claimant(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

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