FINRA Awards for Noel Harvey Applebaum

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Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
22-00023	09/22/2022	Claimant(s): Trawnegan Gall Claimant Lawyers(s): Zachary Morse Respondent(s): Sandlapper Securities Respondent Lawyers(s): Trevor Gordon Arbitrator(s): Nicholas J. Caputo, Benjamin F. Breslauer, Noel Harvey Applebaum Hearing Site: Los Angeles, CA
22-00416	09/15/2022	Claimant(s): Kenneth South Claimant Lawyers(s): Patrick R. Mahoney Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): William H. Badinelli Arbitrator(s): Erik R. Siering, Noel Harvey Applebaum, Daniel Farid Yasharel Hearing Site: Los Angeles, CA
18-01221	04/26/2019	Claimant(s): Andrew Bolous Claimant Lawyers(s): Andrew Rafat Bolous Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Jeffrey A. Wortman Arbitrator(s): Edward A. Trabin, Noel Harvey Applebaum, Joanne Park Hearing Site: Los Angeles, CA
16-03509	12/08/2017	Claimant(s): Alexander Conteh Claimant Lawyers(s): Jeffrey K. Compton Respondent(s): Cole Capital Corporation Respondent Lawyers(s): Theodore J. Sawicki Arbitrator(s): George L. Tindall, Carole Helfert Aragon, Noel Harvey Applebaum Hearing Site: Los Angeles, CA
15-02670	08/22/2016	Claimant(s): Sean Hunter Claimant Lawyers(s): Sean S Hunter Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Janell M. Ahnert Arbitrator(s): Herbert Leslie Greenberg, Anthony D. DeToro, Noel Harvey Applebaum Hearing Site: Los Angeles, CA