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FINRA Awards for Legal Department

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0115708/05/2022Claimant(s): Ronald Brafford
Claimant Lawyers(s): Kevin P. Krupnick
Respondent(s): Carmine Berardi, Rocco Roveccio, Carl Standard & Co. Holdings
Respondent Lawyers(s): Carmine Anthony Berardi, Legal Department, Rocco Roveccio
Arbitrator(s): Maurice M. Feller, Theodore Hornoi-Centerwall, Steven K Yablonski
Hearing Site: Jacksonville, FL
Checkmark IconExpungement
11-0260112/30/2013Claimant(s): Robert Peyser
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): Laurence Briggs, Lawrence Kirshbaum, Timothy Gautney, William Chapman, Alexander Capital Markets, Alexander Financial, Aura Financial Services., Investin Securities Corp., Prestige Financial Center.
Respondent Lawyers(s): Laurence Briggs, Lawrence Kirshbaum, Legal Department, Timothy Gautney, William Chapman
Arbitrator(s): Jeffrey R. Roth, Louis David Huss, Robert Charles Stamm
Hearing Site: Miami, FL
Checkmark Icon$1,722,330

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