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FINRA Awards for Harvey Michael Rosenberg

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0375808/06/2015Claimant(s): Alexander Walbridge Rumpf, Nancy Cornell Rumpf, Samuel Thayer Rumpf
Claimant Lawyers(s): William R. Lindsley
Respondent(s): Carter Smith, Jeffrey Catlin, Jeffrey Smith, UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jeffrey M. Bain, Harvey Michael Rosenberg, Robert H. Baker
Hearing Site: Cleveland, OH
Checkmark IconExpungement
09-0452511/15/2010Claimant(s): Kilbane Plumbing & Heating.
Claimant Lawyers(s): Roger W. Van Deusen
Respondent(s): Ferris, Baker Watts
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): James A. Laurenson, Harvey Michael Rosenberg, John C. Aten
Hearing Site: Cleveland, OH
Checkmark Icon$0
07-0209407/23/2008Claimant(s): Mark Fritz
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Daniel Schrieber, Granite Financial Group
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Sanford Heiser, Thomas R. Skulina, Harvey Michael Rosenberg
Hearing Site: Cleveland, OH
Checkmark Icon$0

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