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FINRA Awards for J. Anthony Penry

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0317601/06/2017Claimant(s): Barbara Lattanze, Robert Lattanze
Claimant Lawyers(s): Richard Frankowski
Respondent(s): Catherine Mewborn, Sterne Agee Financial Services.
Respondent Lawyers(s): J. Anthony Penry, Peter S. Fruin
Arbitrator(s): Gayle B. Carlson
Hearing Site: Raleigh, NC
Checkmark Icon$6,593
12-0278401/21/2014Claimant(s): William Phipps
Claimant Lawyers(s): C. Edward Hartman
Respondent(s): Joseph Giordano, Capital Investment Group.
Respondent Lawyers(s): J. Anthony Penry, Joseph A. Giordano
Arbitrator(s): Mary E. Woytek, Jason William Gaarder, Brian Charles Parker
Hearing Site: Baltimore, MD
Checkmark Icon$30,300
10-0582704/29/2013Claimant(s): Naomi Bowling, Richard Bowling
Claimant Lawyers(s): J. Anthony Penry
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric M. Morris
Arbitrator(s): Leonard E. Benade, Patricia Ann Tracey, Mary B. Campbell
Hearing Site: Charlotte, NC
Checkmark Icon$0
10-0258505/04/2011Claimant(s): Gerald Patera
Claimant Lawyers(s): J. Anthony Penry
Respondent(s): Seaboard Securities.
Respondent Lawyers(s): Anthony J. Digiovanni
Arbitrator(s): Roy J. Baroff, Harold G. Koger, Karen J. Montgomery
Hearing Site: Raleigh, NC
Checkmark Icon$120,300

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