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FINRA Awards for Aura Financial Services.

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0274705/21/2013Claimant(s): Timothy Gautney, Aura Asset Management., Aura Financial Services.
Claimant Lawyers(s): John G Dana
Respondent(s): James Webb, Cape Securities Inc.
Respondent Lawyers(s): Judy A. Newcomb, Ronald M. Amato
Arbitrator(s): Lita S Menkin, Cherie J. Jolly, Charles M. Thompson
Hearing Site: Birmingham, AL
11-0382308/07/2012Claimant(s): Bruce Zaret
Claimant Lawyers(s): Bruce Zaret
Respondent(s): Aura Financial Services.
Respondent Lawyers(s): John Woodruff
Arbitrator(s): Arnold Wagner, Jeffery A. Hamer, Stephen Martin Friedberg
Hearing Site: New York, NY
08-0385207/08/2009Claimant(s): Peter Dunne
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Aura Financial Services.
Respondent Lawyers(s): Leon Baer Borstein
Arbitrator(s): Richard W. Cutler, James S. Goddard, Gerald H. Grayson
Hearing Site: New York, NY
07-0121011/18/2008Claimant(s): Aura Financial Services.
Claimant Lawyers(s): David H. Lichter
Respondent(s): Dipin Mala, Eric Blum, Harsh Jayaswal, Irving Burstein, Ivan Angulo, Kamlesh Lalwani, Nitin Bahirwani, Niyukt Bhasin, Rohit Khemka, Sandeep Singh, Shondeep Balchandani, Sidhar Dhawan, Timothy Gautney, NSM Securities.
Respondent Lawyers(s): David H. Lichter, Harry J. Delagrammatikas
Arbitrator(s):
Hearing Site: Boca Raton, FL

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