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FINRA Awards for John Thomas Shaban

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0302001/14/2011Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): David LaMay, Essex Financial Services.
Respondent Lawyers(s): Richard Slavin, Robert A. Richardson
Arbitrator(s): Charles Franklin Willson, John Thomas Shaban, Edward Allison Downe
Hearing Site: Hartford, CT
06-0471910/23/2008Claimant(s): Robert Grimm, William Featherston
Claimant Lawyers(s): Robert H. Grimm
Respondent(s): CBA Securities LLC
Respondent Lawyers(s): Joseph Nocella
Arbitrator(s): John Thomas Shaban
Hearing Site: Hartford, CT

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