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FINRA Awards for Catherine M. Gallagher

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Displaying 5 out of 5 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0136912/09/2020Claimant(s): Lee Abrahamsen, Robert Abrahamsen, Robert Abrahamsen SER IRA
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Zachary Bader
Respondent Lawyers(s): Zachary T. Bader
Arbitrator(s): Catherine M. Gallagher
Hearing Site: Augusta, ME
Checkmark Icon$132,986
19-0043302/25/2020Claimant(s): Barbara Dierolf, Margaret Ragozzino, Barbara K. Dierolf Trust, Ruth Kunin Trust
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Robert Delbuono, Money Concepts Capital Corp
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Sean Michael Peoples, Paul Smith Besson, Catherine M. Gallagher
Hearing Site: Hartford, CT
Checkmark IconExpungement
18-0023009/30/2019Claimant(s): David Falcigno
Claimant Lawyers(s): Edmund Polubinski
Respondent(s): Frederick Mueller, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Robert R. Barker, Robert L. Chase, Catherine M. Gallagher
Hearing Site: Hartford, CT
Checkmark Icon$29,337
17-0321004/26/2019Claimant(s): Tino Villanueva
Claimant Lawyers(s): Jared Febbroriello
Respondent(s): David Manor
Respondent Lawyers(s): David Manor
Arbitrator(s): Gene M. Bauer, Jeffrey Neil Fink, Catherine M. Gallagher
Hearing Site: Boston, MA
Checkmark Icon$0
14-0352807/26/2016Claimant(s): Kevin Hanna
Claimant Lawyers(s): Warren D. Hutchison
Respondent(s): Bradley Ross, UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Sandor I. Rabkin, Catherine M. Gallagher, Thomas C. Tretter
Hearing Site: Boston, MA
Checkmark Icon$225,000

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