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FINRA Awards for Allen D. Schwartz

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0491801/10/2013Claimant(s): Lehman Brothers Holdings Inc
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Joseph Boutross
Respondent Lawyers(s): Joseph Boutross
Arbitrator(s): Alan M. Wolper, Howard Z. Gopman, Allen D. Schwartz
Hearing Site: Chicago, IL
11-0036711/16/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Thomas Osborn
Respondent Lawyers(s): Thomas Preston Osborn
Arbitrator(s): Phillip Barry Wise, Allen D. Schwartz, Enrico A. Mazzoli
Hearing Site: Louisville, KY

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