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FINRA Awards for Harold S. Stern

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Displaying 11-12 out of 12 results
Case Number Award Date Case Summary Customer Case? Amount Granted
07-0347612/05/2008Claimant(s): Virginia McGaughran, Omega Psychology Center.
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Steven N. Ainbinder, Michael T. Williams, Harold S. Stern
Hearing Site: Boca Raton, FL
Checkmark IconStipulated Award and Expungement
07-0203107/15/2008Claimant(s): Osvaldo Alfonso
Claimant Lawyers(s): Osvaldo Alfonso
Respondent(s): Knickeita Vassel-Bullock, Merrill Lynch Pierce Fenner & Smith Inc., ICMA-RC Services
Respondent Lawyers(s): Angela A. Turiano, Jason Okera Keene
Arbitrator(s): Kimberly A. Gilmour, Adam Harrison Smith, Harold S. Stern
Hearing Site: Boca Raton, FL
Checkmark Icon$0

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