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FINRA Awards for Boston, MA

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Displaying 11-20 out of 197 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0102505/08/2023Claimant(s): Kenneth Woodfield, Michael Shain
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Howard N. Gorney, Mary E. Bassett, John George Neylon
Hearing Site: Boston, MA
Checkmark Icon$0
22-0067304/04/2023Claimant(s): The Fengler Family Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Evalyn Lipton Fishbein, David S Godkin, Ira Sperling
Hearing Site: Boston, MA
Checkmark IconExpungement
22-0216803/01/2023Claimant(s): Edward Velosa
Claimant Lawyers(s): Edward Velosa
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Shruti Jaishankar
Arbitrator(s): Arthur Lewis Pressman
Hearing Site: Boston, MA
Checkmark Icon$0
22-0100402/22/2023Claimant(s): Lee Holland
Claimant Lawyers(s): Lee M. Holland
Respondent(s): Sofi Securities LLC
Respondent Lawyers(s): William Corey
Arbitrator(s): Andrea J. Goldman
Hearing Site: Boston, MA
Checkmark Icon$0
21-0162606/14/2022Claimant(s): Kristina Watts
Claimant Lawyers(s): J. Allen Holland
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Edward W. Morris, John George Neylon, David S Godkin
Hearing Site: Boston, MA
Checkmark Icon$185,238
21-0103606/03/2022Claimant(s): David Gaudet
Claimant Lawyers(s): Christa M. Hibbard
Respondent(s): Michael Digioia
Respondent Lawyers(s): Michael Joseph Digioia
Arbitrator(s): Gene M. Bauer, Patrick Sullivan, Carol Ellen Carson
Hearing Site: Boston, MA
Checkmark Icon$150,400
20-0166006/01/2022Claimant(s): Milton Smith, Cabot Smith, as Trustee
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J Matthew W. Haws
Arbitrator(s): Peter M Cosel, Patrick Sullivan, Gail Sillman
Hearing Site: Boston, MA
Checkmark Icon$0
19-0203404/26/2022Claimant(s): Michael Arnheiter
Claimant Lawyers(s): Thomas N O'Connor
Respondent(s): Kenneth Kitchin, NYLife Securities LLC, New York Life Insurance Company, New York Life Insurance and Annuity Corp
Respondent Lawyers(s): Ralph T. Lepore, III
Arbitrator(s): Robert J. Ambrogi, Sharon L. Monroe, Joseph Edward Riley
Hearing Site: Boston, MA
Checkmark IconExpungement
20-0010603/11/2022Claimant(s): Allan T. Schmaltz IRA
Claimant Lawyers(s): John E. Sutherland
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John D. Stewart
Arbitrator(s): Andrea J. Goldman
Hearing Site: Boston, MA
Checkmark Icon$0
20-0341602/01/2022Claimant(s): Melinda Whitman
Claimant Lawyers(s): William A. Haddad
Respondent(s): Morgan Stanley, Scott Swaylik
Respondent Lawyers(s): Jeremy Winer
Arbitrator(s):
Hearing Site: Boston, MA
Checkmark Icon$150,000

197 Results

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