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FINRA Awards for George W. Klein

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0715311/10/2010Claimant(s): Peter Skouras
Claimant Lawyers(s): George W. Klein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn L. Dietrich
Arbitrator(s): Bernard A. Friedman
Hearing Site: New York, NY
Checkmark Icon$25,425
09-0180905/27/2010Claimant(s): Charles Wasserman, Edward Wasserman, Michael Hensch
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Advanced Equities.
Respondent Lawyers(s): James D. Wilson
Arbitrator(s): Robert L. Palleschi, George W. Klein, Joseph F. Wagner
Hearing Site: New York, NY
Checkmark IconVacated by Circuit Court
07-0044702/13/2009Claimant(s): Martin Murphy
Claimant Lawyers(s): George W. Klein
Respondent(s): Bishop, Rosen & Co..
Respondent Lawyers(s): Martin Siegel
Arbitrator(s): Barry Feiden, Arthur D. Sporn, Philip Florio
Hearing Site: New York, NY
Checkmark Icon$8,000

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