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FINRA Awards for Deutsche Bank Alex.Brown

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0289505/30/2014Claimant(s): Melvin Shapiro and Linda Shapiro
Claimant Lawyers(s): Jospeh A. Sack
Respondent(s): Brian Kaplan, Erik Fiebert, Deutsche Bank Alex.Brown
Respondent Lawyers(s): Donald N. Cohen
Arbitrator(s): Christina Kallas, Arthur M. Handler, Brooks White
Hearing Site: New York, NY
Checkmark IconExpungement
08-0224010/12/2009Claimant(s): RMD/R Family Ltd. Partnership, Tonka Lakes, The Robert J. Rotenberg 2002 Irvoc Tr
Claimant Lawyers(s): Mark L. Johnson
Respondent(s): Deutsche Bank Securities., Deutsche Bank Alex.Brown
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Judith A. Rogosheske, Brett W. Olander, Patricia S. Bartholomew
Hearing Site: Minneapolis, MN
Checkmark Icon$315,600

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