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FINRA Awards for Daniel J. McCarthy

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0165303/13/2014Claimant(s): Gregory Grinberg
Claimant Lawyers(s): Christine Lazaro
Respondent(s): LPL Financial LLC, Louis Wolfson
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Daniel J. McCarthy
Hearing Site: New York, NY
Checkmark Icon$0
10-0360204/04/2012Claimant(s): Eiko Nernoff, John Nernoff
Claimant Lawyers(s): Steven R. Blair
Respondent(s): William Lex
Respondent Lawyers(s): Gilbert B. Abramson
Arbitrator(s): Daniel J. McCarthy, Peter A. Scarpato, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
Checkmark Icon$0
11-0255612/30/2011Claimant(s): Jose Zardoya
Claimant Lawyers(s): Jose Zardoya
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Daniel J. McCarthy
Hearing Site: Newark, NJ
Checkmark Icon$0

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