FINRA Awards for HFP Capital Markets LLC

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
16-00441	02/10/2017	Claimant(s): Mavis Kolman, Ronald O. Kolman Claimant Lawyers(s): Jennifer Tarr Respondent(s): Jonah Engler, Jonathan Sheklow, Thomas Herity, William Bradley, HFP Capital Markets LLC Respondent Lawyers(s): Jonah Engler, Jonathan Michael Sheklow, Thomas Francis Herity, Thomas Herity, William Kevin Bradley Arbitrator(s): Lawrence R. Commers Hearing Site: Minneapolis, MN		$33,117
12-01570	03/20/2013	Claimant(s): Andy Mack Claimant Lawyers(s): Andy Mack Respondent(s): Brett Friedberg, HFP Capital Markets LLC Respondent Lawyers(s): Samuel J. Lieberman Arbitrator(s): Brett W. Olander Hearing Site: Des Moines, IA		Expungement