FINRA Awards for Stephen L. Lister

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-03939	11/29/2021	Claimant(s): Ralph Basile Claimant Lawyers(s): Alex E. Rogers Respondent(s): George Madrigal, Penserra Securities Respondent Lawyers(s): Tracey Salmon-Smith Arbitrator(s): Peter Bennett, Stephen L. Lister, Howard Alan Grinsberg Hearing Site: Jersey City, NJ
17-02799	01/07/2020	Claimant(s): Daniel Motherway Claimant Lawyers(s): Daniel P. Motherway Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Anthony Borrelli Arbitrator(s): Charles A. Crocco, Robert E. Anderson, Stephen L. Lister Hearing Site: Newark, NJ
11-01736	07/05/2012	Claimant(s): Hans Hernandez Claimant Lawyers(s): Hans Kraus Hernandez Respondent(s): Charles Stoffers, First Hanover Securities. Respondent Lawyers(s): Charles Steven Stoffers, Gregory Ricca Arbitrator(s): Stephen L. Lister Hearing Site: Newark, NJ
10-04768	05/05/2011	Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Edward C. Nowak Respondent(s): Robert Tolstoi Respondent Lawyers(s): Brian Reis Arbitrator(s): Stephen L. Lister Hearing Site: Newark, NJ