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FINRA Awards for Howard T. Goffen

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0181703/23/2023Claimant(s): Roger Johnson
Claimant Lawyers(s): David Vermont
Respondent(s): Frank Black, Kostas Tsamos, Southeast Investments, N.C..
Respondent Lawyers(s): Alan M. Wolper, Liam O'Brien
Arbitrator(s): Larry Evert Carlson, Marilee Roberg, Howard T. Goffen
Hearing Site: Chicago, IL
Checkmark Icon$0
21-0000208/18/2022Claimant(s): Michael Gutt
Claimant Lawyers(s): John M. O'Toole
Respondent(s): Ameriprise Financial Services., Steven Sterchele
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Ray J. Grzebielski, Howard T. Goffen, Lisa M. Krimen
Hearing Site: Chicago, IL
Checkmark IconExpungement
11-0389411/08/2013Claimant(s): Jeffrey Foster
Claimant Lawyers(s): Steven M. Cloh
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Theodore W. Wrobleski, Shelby Webb, Howard T. Goffen
Hearing Site: Chicago, IL
Checkmark Icon$61,732

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