FINRA Awards for Carolyn Herrmann

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
16-01018	06/20/2019	Claimant(s): Amy Eisner, Carolyn Herrmann, David Freilicher, Ellen Nass, Hal Nass, Helene Posnick, Herbert Pfeffer, Jean Schram, John Skalicky, Kirstine Schaeffer, Lawrence Eisner, Marc Hyman, Myrna Barzelatto, Paul Posnick, Richard Schram, Robert Gluckin, Robert Skollar, Thomas Herrmann, William Bernstein, Estate of Joan B. Gluckin, et al Claimant Lawyers(s): Adam J. Weinstein, Adam Gana Respondent(s): David Blisk, Suzanne McKeown, Spire Securities Respondent Lawyers(s): Paul A. Lieberman Arbitrator(s): Sandra D. Parker, Amy Banet, Albert Rizzo Hearing Site: New York, NY		$3,000,000
17-01361	06/20/2019	Claimant(s): Amy Eisner, Carolyn Herrmann, David Freilicher, Ellen Nass, Hal Nass, Helene Posnick, Jean Schram, John Skalicky, Kirstine Schaeffer, Lawrence Eisner, Marc Hyman, Paul Posnick, Richard Schram, Robert Gluckin, Robert Skollar, Thomas Herrmann, William Bernstein, Estate of Joan B. Gluckin, HFP Holdings, Holla4, Betty Ziernicki Trust Claimant Lawyers(s): Adam J. Weinstein Respondent(s): David Blisk, Suzzane McKeown, Spire Securities Respondent Lawyers(s): Paul A. Lieberman Arbitrator(s): Dora M. Lassinger, Peter A. Goldman, Thomas Michael Gandolfo Hearing Site: New York, NY		$3,000,000