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FINRA Awards for Joseph L. Farrell

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0168401/13/2012Claimant(s): Britta Chojnacki, David Brill, Walter Chojnacki
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Christopher Shufeldt, La Salle St. Securities, L.L.C., Kimball & Cross Investment Mgmt Corp.
Respondent Lawyers(s): James D. Fornari, John C. Clifford, Matthew M. Showel
Arbitrator(s): Gordon E. Wright, Joseph L. Farrell, Joseph R. Lally
Hearing Site: Philadelphia, PA
Checkmark Icon$42,800
08-0472509/01/2010Claimant(s): Ronald Kline
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Richard Szuch
Arbitrator(s): Joseph L. Farrell, Edward F. Koren, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
Checkmark Icon$0
07-0012102/04/2008Claimant(s): Erich Klein
Claimant Lawyers(s): Frederick J. Lanshe
Respondent(s): Douglas Woolley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael E. Olney
Arbitrator(s): Joseph L. Farrell
Hearing Site: Philadelphia, PA
Checkmark Icon$0

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