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FINRA Awards for Perry Earl Phillips

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Displaying 7 out of 7 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0114712/27/2019Claimant(s): O'Donnell Family Limited Partnership
Claimant Lawyers(s): Craig O'Donnell
Respondent(s): Eric Rubenstein, Steven Kolinsky
Respondent Lawyers(s): Richard A. Roth, Steven Ira Kolinsky
Arbitrator(s): Perry Earl Phillips
Hearing Site: Boca Raton, FL
Checkmark Icon$0
17-0160301/24/2019Claimant(s): Kathleen Wallace, William Wallace, Wallace Risk Management Inc.
Claimant Lawyers(s): Scott J. Link
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): Perry Earl Phillips, Sidney Turner, Martin I Jaffe
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
17-0170005/14/2018Claimant(s): Eugene Sessa
Claimant Lawyers(s): Lars Soreide
Respondent(s): Spencer Laufer, J.H. Darbie & Co..
Respondent Lawyers(s): Lawrence R. Gelber, Spencer David Laufer
Arbitrator(s): David P. Slater, Perry Earl Phillips, Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
Checkmark Icon$100,300
17-0058003/22/2018Claimant(s): Mae Nauheim, Mae Nauheim Restated Decl Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Summit Brokerage Services.
Respondent Lawyers(s): David Smitham
Arbitrator(s): Perry Earl Phillips
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
11-0162612/20/2013Claimant(s): Principle Capital Partners, L.P.
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Robert Topp
Arbitrator(s): Joel Margolies, Perry Earl Phillips, Harvey Russell Preston
Hearing Site: Boca Raton, FL
Checkmark Icon$137,000
12-0142306/27/2013Claimant(s): Ellen Gache, EBG Investments, LLP
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Levitt Capital Management
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Michael A. Levin, Perry Earl Phillips, Harvey Alan Blicksilver
Hearing Site: Boca Raton, FL
Checkmark Icon$0
10-0370003/19/2012Claimant(s): Mark Wilton
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Coren Stern
Arbitrator(s): Earl S. Schwarz, Bruce K. Isenberg, Perry Earl Phillips
Hearing Site: Boca Raton, FL
Checkmark Icon$0

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