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FINRA Awards for Steven J. Gard

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0034602/13/2013Claimant(s): Daisha LaMontague as Tr. to Elenor Nagel
Claimant Lawyers(s): Steven J. Gard
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Cindy L. Anderson, Pamela Jeanne Rush, Robert Finder
Hearing Site: Jacksonville, FL
Checkmark Icon$0
12-0057512/19/2012Claimant(s): Lois Martello, The Estate of Frank T. Martello, Frank T. Martello Fam. Trust f/b/o Keith, Frank T. Martello Fam. Trust f/b/o Linda, Frank T. Martello Fam. Trust f/b/o Tim, The Frank T. Martello Revocable Trust
Claimant Lawyers(s): Steven J. Gard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson Henry
Arbitrator(s): J. Porter McClean, Pamela Jeanne Rush, Gail E. Sasnett-Stauffer
Hearing Site: Jacksonville, FL
Checkmark IconExpungement
09-0130008/23/2010Claimant(s): James Culp, Nancy Culp, James and Nacy Culp Family Trust
Claimant Lawyers(s): Steven J. Gard
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Ronald W. Devoe, William H. Steinbrenner, James P. Ryan
Hearing Site: Orlando, FL
Checkmark Icon$0
08-0062207/22/2009Claimant(s): Candace Patterson, William Patterson
Claimant Lawyers(s): Steven J. Gard
Respondent(s): Century Securities Associates.
Respondent Lawyers(s): Christopher G. Lazarini
Arbitrator(s): Robert H. Putnam, Arthur P. Barry, Bonnie B. Revoner
Hearing Site: Atlanta, GA
Checkmark Icon$0
08-0059712/15/2008Claimant(s): Nigel Roth
Claimant Lawyers(s): Steven J. Gard
Respondent(s): Donald Wojnowski, Empire Financial Group.
Respondent Lawyers(s): Joshua A. Katz
Arbitrator(s): Stuart Harvey Ziegler, Les R. Campbell, Theodore Israel Herold
Hearing Site: Boca Raton, FL
Checkmark Icon$0

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