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FINRA Awards for Ann C. Northern

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Displaying 7 out of 7 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0055511/08/2023Claimant(s): Rocco Carriero
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Michael Langella, Nancy Dubin
Respondent Lawyers(s): Michael S. Langella, Nancy Dubin
Arbitrator(s): Ann C. Northern, Damien Bosco, Sofia Balile
Hearing Site: New York, NY
Checkmark IconExpungement
23-0066909/12/2023Claimant(s): Wei Liao
Claimant Lawyers(s): Wei Liao
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jovalin Dedaj
Arbitrator(s): Ann C. Northern
Hearing Site: New York, NY
Checkmark IconDenied
16-0171412/09/2019Claimant(s): Claude Asiane
Claimant Lawyers(s): Claude Asiane
Respondent(s): Michael Rapley, Andrew Garrett Inc.
Respondent Lawyers(s): Barry Bordetsky
Arbitrator(s): Ann C. Northern, James M. Rhodes, Katherine Cooper
Hearing Site: New York, NY
Checkmark IconDismissed
18-0276406/10/2019Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Garrett R. Wynne
Respondent(s): Yujian Gao
Respondent Lawyers(s): Yujian Gao
Arbitrator(s): Ann C. Northern, Rory M. McLaughlin, Justin T Kelton
Hearing Site: New York, NY
Checkmark Icon$0
12-0297402/14/2013Claimant(s): Philip Merryman
Claimant Lawyers(s): Philip Merryman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Ann C. Northern
Hearing Site: New York, NY
Checkmark Icon$0
11-0057105/04/2012Claimant(s): Dennis Herman
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Cheryl Black, Harold Eylward, J.P. Morgan Securities
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Edward Baer, James M. Baumann, Ann C. Northern
Hearing Site: New York, NY
Checkmark Icon$0
09-0413012/29/2010Claimant(s): Morgan Stanley Smith Barney
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Clifford Feldstein, Kenneth Sitomer, Ronald Feldstein, Mara Capital Management
Respondent Lawyers(s): Jay Goldberg, Seth Huberman
Arbitrator(s): Ann C. Northern, Marilyn J. Salzman, Randolph Guggenheimer
Hearing Site: New York, NY
Checkmark Icon$0

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