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FINRA Awards for David Locy

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0226804/12/2017Claimant(s): Kenneth Vanderlinde
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Antony Turbeville, David Locy, Edgar Thomas, Ehab Shalaby, Elvin Lopez, Kyong Kim, Philip Fatta, Brookstone Securities.
Respondent Lawyers(s): David W. Locy, Ehab Ahmed Shalaby, Elvin J. Lopez, Joshua A. Katz, Kyong H. Kim, Marc L. Abramson
Arbitrator(s): Michael S. Jordan
Hearing Site: Minneapolis, MN
Checkmark Icon$36,877
14-0270510/27/2015Claimant(s): James and Agnes Kane
Claimant Lawyers(s): James Kane
Respondent(s): Joseph Carrino, Victor Lessinger, Brookstone Securities.
Respondent Lawyers(s): David Locy, Joseph Michael Carrino, Victor Alan Lessinger
Arbitrator(s): John J. Vesey
Hearing Site: New York, NY
Checkmark Icon$16,480
13-0206905/01/2015Claimant(s): James Briggs, Louisa Briggs
Claimant Lawyers(s): Stacey P. Nakasian
Respondent(s): Brent Porges, Craig Taddonio, David Cannata, David Locy, Brookstone Securities., Craig Scott Capital
Respondent Lawyers(s): Harry Delagrammatikas, William M. Dolan
Arbitrator(s): Timothy F. Shanahan, John Francis Markuns, B. J. Krintzman
Hearing Site: Providence, RI
Checkmark Icon$438,454

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