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FINRA Awards for GunnAllen Financial

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0077311/30/2011Claimant(s): Gerard Bianco, Gabriella Bianco
Claimant Lawyers(s): Gerard Bianco
Respondent(s): James Rapuano, GunnAllen Financial
Respondent Lawyers(s): Frederick Kraus, James Michael Rapuano
Arbitrator(s): Mary C. Kelleher
Hearing Site: Hartford, CT
Checkmark Icon$31,696
09-0410502/24/2010Claimant(s): Jay Lombard
Claimant Lawyers(s): Jay Lombard
Respondent(s): GunnAllen Financial
Respondent Lawyers(s): Jay Marc Israel
Arbitrator(s): Joseph B. Russell
Hearing Site: New York, NY
Checkmark Icon$0
08-0436002/10/2010Claimant(s): Kenneith Rose
Claimant Lawyers(s): Kenneith Vernon Rose
Respondent(s): Neal Smalbach, GunnAllen Financial
Respondent Lawyers(s): Neal S. Smalbach, William J. Schifino
Arbitrator(s): Arthur L. Tepper, Duncan H. Cameron
Hearing Site: Clearwater, FL
Checkmark Icon$0

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