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FINRA Awards for Thomas K. Goldie

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Case Number Award Date Case Summary Customer Case? Amount Granted
07-0167902/05/2009Claimant(s): Daniel Day
Claimant Lawyers(s): K. Michael Swann
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Stan West, Suzanne E. Reynolds-Brady, Thomas K. Goldie
Hearing Site: Orlando, FL
Checkmark IconStipulated Award and Expungement
07-0037504/24/2008Claimant(s): JoAnne Manchester
Claimant Lawyers(s): J. Benton Stewart
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Christopher J. Gawley
Arbitrator(s): Thomas W. Sinclair, Thomas K. Goldie, Maurice M. Feller
Hearing Site: Orlando, FL
Checkmark Icon$0
07-0007212/26/2007Claimant(s): Assunta Ritucci-Chinni, Elene Zeni, Francesco Ritucci-Chinni, Franz Ritucci-Chinni, Guilio Zeni, Martha Ritucci-Chinni
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Sterling Financial Investment Group
Respondent Lawyers(s): Ejola Christlieb Cook
Arbitrator(s): John Berryman, Thomas K. Goldie, Robert J. Walter
Hearing Site: Orlando, FL
Checkmark Icon$162,290

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