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FINRA Awards for Bernard Herman

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Displaying 7 out of 7 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0665904/23/2014Claimant(s): Christine Sone
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Stephen Barr, Bishop, Rosen & Co..
Respondent Lawyers(s): Martin S. Siegel
Arbitrator(s): Bernard Herman, David B. Harwi, Robert C. Scanlan
Hearing Site: Philadelphia, PA
Checkmark Icon$300
10-0243804/22/2013Claimant(s): Benjamin Vinton, Benjamin Vinton III Irrevocable Trust, Yvonne J. Vinton Residential Trust, Yvonne J. Vinton Trust DTD 2/16/98
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Caryl S. Bernstein, Bernard Herman, Charles C. Fox
Hearing Site: Wilmington, DE
Checkmark IconExpungement
10-0010008/30/2012Claimant(s): Jacqueline Chibbaro
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Philip Quigley
Respondent Lawyers(s): John Fialcowitz
Arbitrator(s): Bernard Herman, Court O. Anderson, Arthur Peter Bedrosian
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
10-0322607/20/2011Claimant(s): Ann Ozark
Claimant Lawyers(s): Joseph L. Ozark
Respondent(s): Ameriprise Financial Services., Joyce Hoban
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Bernard Herman
Hearing Site: Philadelphia, PA
Checkmark Icon$75
08-0282210/28/2010Claimant(s): Joseph Optiz
Claimant Lawyers(s): Thomas A. Blackburn
Respondent(s): Christopher Myers, Ameriprise Financial Services., Myers and Lentz
Respondent Lawyers(s): Eric E. Reed
Arbitrator(s): Joseph R. Lally, Bernard Herman, Adam Bronstein
Hearing Site: Philadelphia, PA
Checkmark Icon$0
09-0276507/22/2010Claimant(s): Abraham Koch, Cecelia Koch, Trust U/A/D 12/27/90, Cecelia A. Koch Trust U/A/D 12/27/90
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Arthur Weissman, Douglas Kobak, Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Bernard Herman, Peter D. Shelp, Eugene M. Schloss
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
04-0579502/22/2008Claimant(s): Vincent Bellino
Claimant Lawyers(s): Vincent Bellino
Respondent(s): Wachovia Securities, Frank Kim, John Compton, Patrick Kim
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Cornelius C. Clancy, Bernard Herman, Irene C. Warshauer
Hearing Site: Newark, NJ
Checkmark IconStipulated Award and Expungement

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