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FINRA Awards for Clare R. Goldfarb

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0011203/04/2019Claimant(s): David Greene
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): David S. Poppick
Arbitrator(s): Clare R. Goldfarb, Peggy Lewis Kennedy, James David Askren
Hearing Site: Atlanta, GA
10-0449903/20/2012Claimant(s): Keith Wagner
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Clare R. Goldfarb, Sabrina Raquel Scott, John H. Beach
Hearing Site: Atlanta, GA
10-0022601/30/2012Claimant(s): Kevin Solik
Claimant Lawyers(s): John D. Singer
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Frederick T. Smith
Arbitrator(s): Clare R. Goldfarb, E. Trice Laird, John D. Mattingly
Hearing Site: Atlanta, GA

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