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FINRA Awards for L.P.

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Displaying 11-20 out of 68 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0149711/11/2019Claimant(s): Edward Engbarth
Claimant Lawyers(s): Edward Engbarth
Respondent(s): Joseph Amato, Alexander Capital, L.P.
Respondent Lawyers(s): Martin P. Unger
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
Checkmark Icon$10,141
18-0400711/07/2019Claimant(s): Waltraud Greathouse
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Kenneth Barroga, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Peter H. Daly, Jonathan H. Krotinger, Gary S. DeWeese
Hearing Site: San Francisco, CA
Checkmark Icon$160,097
15-0320004/16/2019Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): Katherine L. Schuerman
Respondent(s): Brar Familiy Partnership, L.P.
Respondent Lawyers(s): Arthur Schwartzstein
Arbitrator(s):
Hearing Site: Norfolk, VA
Checkmark Icon$2,529,060
15-0319904/11/2019Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): David Luger
Respondent(s): Dr. Parbhur and Charanjit Singh, Brar Family Partnership, L.P.
Respondent Lawyers(s): Arthur M. Schwartzstein
Arbitrator(s): Neil T. Treger, Brock B. Gordon, Harold Craig Cohen
Hearing Site: Norfolk, VA
Checkmark Icon$0
17-0299412/13/2018Claimant(s): Great Vision USD Fund I, L.P.
Claimant Lawyers(s): Leon Baer Borstein
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason Billy
Arbitrator(s): Michael H. DuBoff, John Michael Richardson, Andrew Evan Gelfand
Hearing Site: New York, NY
Checkmark Icon$345,800
16-0179208/20/2018Claimant(s): Camille Greco
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Israel Torres, Meyers Associates, L.P.
Respondent Lawyers(s): Israel Torres, John Stalanski
Arbitrator(s): Stephen L. Lister, Edward W. Morris, Bruce Edward Walenczyk
Hearing Site: Newark, NJ
Checkmark Icon$397,300
16-0006002/06/2018Claimant(s): Carl Osborne III IRA, Carl Osborne III SEP IRA, Susan Osborne SEP IRA
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Bruce Meyers, Meyers Associates, L.P.
Respondent Lawyers(s): Bruce Meyers, Gregory S. Sparer
Arbitrator(s): Brian J. Burstin, Charles F. Titterton, Jay Alan Kranis
Hearing Site: New York, NY
Checkmark Icon$45,425
16-0203801/23/2018Claimant(s): David Harter
Claimant Lawyers(s): David Neuman
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Kenneth E. Owen, Noel Harvey Applebaum, Joseph Francis Young
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
13-0360507/07/2017Claimant(s): Gregory Cohen
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Baris Dincer, Daniel Mendoza, Francine Lanaia, Joseph Amato, RBC Capital Markets LLC, Alexander Capital, L.P.
Respondent Lawyers(s): Baris Dincer, Daniel Manuel Mendoza, Francine Ann Lanaia, Frank J. Cuccio, Scott Holcomb
Arbitrator(s): William E. Nuckel, Christine Moore, Mary Julia O'Connell
Hearing Site: New York, NY
Checkmark Icon$0
16-0266505/18/2017Claimant(s): Mark Owens
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Joseph Quinzi, Philip Sparacino, Thomas Myers, Alexander Capital, L.P.
Respondent Lawyers(s): Ian J. Frimet, Joseph Dominick Quinzi, Thomas Alexander Myers
Arbitrator(s): Barry Goldman
Hearing Site: Des Moines, IA
Checkmark Icon$0

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