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FINRA Awards for Michele S. Riley

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Displaying 10 out of 12 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0131606/17/2019Claimant(s): Israel Sporn
Claimant Lawyers(s): James P Galvin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Ruthann Granito
Arbitrator(s): Laura Carraher, Michele S. Riley, Phillip Weitzman
Hearing Site: New York, NY
Checkmark IconExpungement
15-0048405/15/2019Claimant(s): John Kenyon
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Anthony Sercia, Jason Klabal, Mario Sclafani, Michael Androulakis, Legend Securities.
Respondent Lawyers(s): Anthony Frank Sercia, Jason Harris Klabal, Mario Charles Sclafani, Salvatore Caruso, Scott Holcomb
Arbitrator(s): Sidney N. Weiss, Michele S. Riley, Ronald Jay Horowitz
Hearing Site: New York, NY
Checkmark IconExpungement
17-0137003/13/2019Claimant(s):
Claimant Lawyers(s):
Respondent(s): Timothy Longo, Trident Partners Ltd.
Respondent Lawyers(s): Eric J. Sussman, Giuseppe Franzella
Arbitrator(s): Joan M. Traub, Paul S. Biederman, Michele S. Riley
Hearing Site: New York, NY
Checkmark Icon$0
17-0091011/23/2018Claimant(s): Herbert Voss
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Danard Brown, Frank Fusco, Legend Securities.
Respondent Lawyers(s): Danard W. Brown, Frank Philip Fusco, Salvatore C. Caruso
Arbitrator(s): Benjamin L. Anderson, Michele S. Riley, Wallace Anthony Showman
Hearing Site: New York, NY
Checkmark Icon$1,075,000
15-0318508/09/2018Claimant(s): Sukhminder Pannu and Prabhjot Dillion
Claimant Lawyers(s): Arthur C. Koski
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): David Luger
Arbitrator(s): Keith Roberts, Clive I. Morrick, Michele S. Riley
Hearing Site: New York, NY
Checkmark Icon$0
15-0328208/18/2016Claimant(s): Stephen McCourt
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Labron Toles, Sonya Still
Respondent Lawyers(s): Labron Manosa Toles, Marc S. Gottlieb
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
Checkmark Icon$300
11-0090911/13/2015Claimant(s): Gordon Group Investments
Claimant Lawyers(s): Gregory J. Hollon
Respondent(s): Fortis Securities LLC
Respondent Lawyers(s): James R. Levine
Arbitrator(s): Edwin S. Mruk, Bertrand M. Lanchner, Michele S. Riley
Hearing Site: New York, NY
Checkmark Icon$11,333,000
14-0170507/08/2015Claimant(s): Estate of John Lidell
Claimant Lawyers(s): Lloyd S. Clareman
Respondent(s): Jason Klabal, Michael Mariani, Legend Securities.
Respondent Lawyers(s): David A. Gehn, Lawrence R. Gelber, Michael A. Mariani
Arbitrator(s): Susan C. Lushing, Richard Lee Mansdoerfer, Michele S. Riley
Hearing Site: New York, NY
Checkmark Icon$61,867
11-0435606/05/2013Claimant(s): Neil Novikoff
Claimant Lawyers(s): Joseph E. Gasperetti
Respondent(s): Joseph Centra, Richard Ganz, Allocation Resource Group, H. Beck.
Respondent Lawyers(s): Elizabeth A. Schmid
Arbitrator(s): Ira S. Cure, Mary P. Bass, Michele S. Riley
Hearing Site: New York, NY
Checkmark Icon$0
11-0170108/15/2012Claimant(s): Albert Lazarus
Claimant Lawyers(s): Arthur P Fisch
Respondent(s): Eric Diton, UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Kinchen C. Bizzell, Keely D. Parr, Michele S. Riley
Hearing Site: New York, NY
Checkmark Icon$0

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