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FINRA Awards for Frank M. Romano

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0052208/30/2018Claimant(s): Edwin B. and Ellen L. Smith Irrevocable
Claimant Lawyers(s): Stephen Smith
Respondent(s): James Wheaton, Krishna Rani Jeffries, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Frank M. Romano
Hearing Site: Houston, TX
Checkmark Icon$0
10-0334709/21/2012Claimant(s): Oscar Lopez, Paul Compton, Sarah Compton, Toni Lopez
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Timothy Collins, H. Beck., Interactive Brokers LLC
Respondent Lawyers(s): Danya W. Blair, John J. Nielands, Timothy J. Collins
Arbitrator(s): Frank M. Romano, Phillip M. Renfro, David D. McNally
Hearing Site: Houston, TX
Checkmark Icon$0

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