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FINRA Awards for Amy Y. Moy

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0224610/02/2015Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Ian H. Hummel
Respondent(s): Steven Liebman, SML Capital Group LLC
Respondent Lawyers(s): Steven Liebman
Arbitrator(s): Amy Y. Moy, Ronald Harris Kisner, Edward F. Zagajeski
Hearing Site: New York, NY
Checkmark Icon$0
13-0048708/25/2014Claimant(s): Richard Gabay
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Aviv Hen, Stephen Grivas
Respondent Lawyers(s): Aviv Michael Hen, Martin P. Unger
Arbitrator(s): Martin L. Feinberg, Carolyn A. Mann, Amy Y. Moy
Hearing Site: New York, NY
Checkmark Icon$166,658
11-0458212/18/2013Claimant(s): Steven Oberdorfer
Claimant Lawyers(s): Aaron M. Goldsmith
Respondent(s): Ronald Moschetta, Strasbourger Pearson Tulcin Wolff Inc., Todd And Company.
Respondent Lawyers(s): Compliance Officer, Ronald Moschetta
Arbitrator(s): John Daly, Amy Y. Moy, David John Reilly
Hearing Site: New York, NY
Checkmark Icon$100,000

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