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FINRA Awards for Daniel B. Berkson

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Displaying 10 out of 11 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0093705/03/2017Claimant(s): Cor Clearing LLC
Claimant Lawyers(s): Lawrence Ecoff
Respondent(s): Oppenheimerfunds Distributor.
Respondent Lawyers(s): Michael S. Doluisio
Arbitrator(s): Daniel B. Berkson, Domitilia M. dos Santos, Donald Raymond McNally
Hearing Site: New York, NY
14-0192908/24/2015Claimant(s): Saagar Gupta
Claimant Lawyers(s): Daniel E. Rhynhart
Respondent(s): HAP Trading
Respondent Lawyers(s): Ira Lee Sorkin
Arbitrator(s): Daniel B. Berkson, Howard L. Sobel, Linda J. Baer
Hearing Site: New York, NY
14-0241907/16/2015Claimant(s): John Gatens
Claimant Lawyers(s): Robert S. Balsam
Respondent(s): Daniel Lavecchia, Louis Scotto, Robert Kellan, BGC Financial, L.P.
Respondent Lawyers(s): Michael S. Popok
Arbitrator(s): Daniel B. Berkson, Robert E. Anderson, Thomas Michael Gandolfo
Hearing Site: New York, NY
11-0335611/29/2012Claimant(s): Kenneth Barrett
Claimant Lawyers(s): Mark J. Astarita
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley Market Products Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Daniel B. Berkson, David I. Goldblatt, Brian Lawrence Berlandi
Hearing Site: New York, NY
10-0022002/08/2012Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Beth Delaney
Respondent(s): Robert Chester
Respondent Lawyers(s): W. Hubert Plummer
Arbitrator(s): Daniel B. Berkson, Mitchell S. Friedman, Judith Fields Jurney
Hearing Site: New York, NY
09-0138910/29/2010Claimant(s): Olav Refvik
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Jennifer Barrett
Arbitrator(s): Daniel B. Berkson, Kenneth M. Felder, Howard Breindel
Hearing Site: New York, NY
06-0295403/24/2010Claimant(s): Cantor Fitzgerald Securities
Claimant Lawyers(s): Francis X. Riley
Respondent(s): Refco Securities
Respondent Lawyers(s): Arthur H. Ruegger
Arbitrator(s): Thomas E. Duggan, Daniel B. Berkson, Lois M. Goldstein
Hearing Site: New York, NY
08-0320701/13/2010Claimant(s): Fordham Financial Management.
Claimant Lawyers(s): Brian Neville
Respondent(s): John Alejos
Respondent Lawyers(s): Juan C. Alejos
Arbitrator(s): Daniel B. Berkson, John P. Bevilacqua, Arthur D. Felsenfeld
Hearing Site: New York, NY
09-0015309/21/2009Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Dennis N. Lueck
Respondent(s): Apostolos Pitsironis
Respondent Lawyers(s): Christine A. Palmieri
Arbitrator(s): Gilbert F. Bach, Daniel B. Berkson, Alan A. Gray
Hearing Site: New York, NY
07-0328203/03/2009Claimant(s): Joseph Stevens & Company.
Claimant Lawyers(s): Seth Huberman
Respondent(s): Henry Sanabria, John Sideris, Joseph Blocken, Louis Scalise, Mark Dalcollo, Renatto Cornejo, Thomas Gallagher, Vincent Trapozzano
Respondent Lawyers(s): Henry Sanabria, John Chris Sideris, Joseph Blocken, Louis Peter Scalise, Mark Dalcollo, Renatto Antonino Cornejo, Thomas Ranger Gallagher, Vincent Manuel Trapozzano
Arbitrator(s): Daniel B. Berkson, Jeffrey F. Friedman, Mark A. Egert
Hearing Site: New York, NY

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