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FINRA Awards for AXA Advisors

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Displaying 11-17 out of 17 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0106004/17/2013Claimant(s): Angie Herschkoff
Claimant Lawyers(s): Joseph J. Gulino
Respondent(s): Chase Investment Services Corp., AXA Advisors
Respondent Lawyers(s): Joseph S. Simms, Renata Ortiz Bloom
Arbitrator(s): Marc S. Piven, Michael A. Levin, Mauricio Arcadier
Hearing Site: Boca Raton, FL
Checkmark IconDismissed by Rule 12206
11-0277112/05/2012Claimant(s): Matthew Ryan
Claimant Lawyers(s): Matthew Ryan
Respondent(s): Edward Zaik, AXA Advisors
Respondent Lawyers(s): Hector D. Geribon, Jessica Levine
Arbitrator(s): Robert Pincus, Timothy A Meigher, Clifford C. Rohde
Hearing Site: Albany, NY
Checkmark Icon$0
11-0374306/26/2012Claimant(s): Ronald Vulcano
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): AXA Advisors
Respondent Lawyers(s): Eileen Stassa
Arbitrator(s): Stuart M. Schwartz, Howard B. Cohen, Carl J. Disalvatore
Hearing Site: Syracuse, NY
Checkmark Icon$0
10-0286911/14/2011Claimant(s): Paula Fives-Taylor
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Charles DinklageL Financial LLC, AXA Advisors
Respondent Lawyers(s): Brian J. Palmeri, Eilott R Good
Arbitrator(s): Elizabeth K. Norsworthy, Albert J. Cirone, Jack B. Golden
Hearing Site: Montpelier, VT
Checkmark IconExpungement
08-0251101/18/2011Claimant(s): Joseph Torsiello
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): AXA Advisors
Respondent Lawyers(s): Elliot R. Good
Arbitrator(s): Sheldon I. Saitlin, Ned B. Young, Charles R. Smith
Hearing Site: Boca Raton, FL
Checkmark Icon$0
09-0414205/27/2010Claimant(s): Donald Rose
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Howard Wolkowitz, AXA Advisors, Brinker Capital.
Respondent Lawyers(s): Russell A. Divak, William A. Kebler, William R. Grimm
Arbitrator(s): Richard S. Zaifert
Hearing Site: Ft. Lauderdale, FL
Checkmark Icon$34,670
07-0273703/18/2008Claimant(s): Melanie Bruno
Claimant Lawyers(s): Milton Fried
Respondent(s): AXA Advisors
Respondent Lawyers(s): Theodore C. Peters
Arbitrator(s): Walter S. Weiss, James H. Frank, Louise A. Berberian
Hearing Site: Los Angeles, CA
Checkmark Icon$0

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