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FINRA Awards for Sirena Terr

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0326506/03/2022Claimant(s): Dwight Rose, Nancy Rose
Claimant Lawyers(s): Albert R. Murray
Respondent(s): Kevin Houser, Houser & Plessl Wealth Management Group,
Respondent Lawyers(s): Michael S. Taafee
Arbitrator(s): Annamaria Boccia Smith, Sirena Terr, Charlane Brown
Hearing Site: New York, NY
Checkmark IconExpungement
14-0023511/13/2015Claimant(s): Malgorzata Petersen, M & R Petersen Family Limited Partnershi
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Mark Harwanko, Ameriprise Financial Services Inc
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Robert E. Anderson, Leslie Ruth Nydick, Sirena Terr
Hearing Site: Newark, NJ
Checkmark IconExpungement
13-0302706/17/2014Claimant(s): Albert Hoeflich, Edward Hoeflich, Eric Hoeflich, REB I
Claimant Lawyers(s): Daniel A. Bakondi, Robert L. Gonser
Respondent(s): Joral Schmalle, Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Susan Sangillo Bellifemine, Sam Antar, Sirena Terr
Hearing Site: Newark, NJ
Checkmark IconDismissed by Rule 12206

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