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FINRA Awards for Steven H. Vogel

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Displaying 10 out of 12 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0208503/08/2024Claimant(s): Camille Thomas
Claimant Lawyers(s): Camille Thomas
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Steven H. Vogel, Gerald G Saltarelli, Vincent Joseph Hart
Hearing Site: Chicago, IL
Checkmark Icon$0
22-0199007/11/2023Claimant(s): Jane Doyle
Claimant Lawyers(s): Jane Doyle
Respondent(s): Scott Schechter, NYLife Securities LLC
Respondent Lawyers(s): Daniel A. Hetzel
Arbitrator(s): Mark L Miller, Alan M. Wolper, Steven H. Vogel
Hearing Site: Chicago, IL
Checkmark IconExpungement
21-0206608/01/2022Claimant(s): Abdul Mohammed
Claimant Lawyers(s): Abdul Mohammed
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Ray J. Grzebielski, Steven H. Vogel, Phillip I. Finkelstein
Hearing Site: Chicago, IL
Checkmark Icon$0
21-0021107/27/2022Claimant(s): Bernard So
Claimant Lawyers(s): Joseph R. Henderson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John Stewart
Arbitrator(s): Steven H. Vogel, Walter Patrick Giblin, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
Checkmark Icon$0
20-0095403/31/2022Claimant(s): Janet M. Wittmer, Ronald E. Wittmer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Bruce Guarino, Daniel Murray, Douglas Guarino, Jeff Snyder, Rockwell Global Capital LLC
Respondent Lawyers(s): Daniel Robert Murray, Douglas Joseph Guarino, Jeff David Snyder, Robert M. Bursky
Arbitrator(s): Steven H. Vogel, Jacqueline Stanley Lustig, Stuart W. Smith
Hearing Site: Chicago, IL
Checkmark Icon$0
21-0130510/15/2021Claimant(s): Joseph Reynolds
Claimant Lawyers(s): Joseph Reynolds
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
Checkmark Icon$300
17-0329603/10/2020Claimant(s): Jennifer Pavlik, Jon Pavlik, Jennifer Pavlik Roth IRA, Jon Pavlik Roth IRA, Edward J. Pavlik Rev Trust DTD 3/9/82
Claimant Lawyers(s): Edward Pavlik
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): Steven H. Vogel, Michael R. Sherwin, Thomas P. Valenti
Hearing Site: Chicago, IL
Checkmark IconDismissed by Rule 12212(c)
19-0147410/18/2019Claimant(s): Al Zvinakis as FPOA for Regina Zvinakis
Claimant Lawyers(s): Al Zvinakis
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
Checkmark Icon$0
16-0076704/05/2018Claimant(s): Kirk Hoffman
Claimant Lawyers(s): James Malachy Meaney
Respondent(s): Dieter Huber, National Securities Corporation, Kay Johnson, Kieran Loughran, Mark Goldwasser
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Steven H. Vogel, Stephen W. Mack, Frank A. Dusek
Hearing Site: Chicago, IL
Checkmark IconExpungement
14-0047410/17/2014Claimant(s): Douglas Lowy
Claimant Lawyers(s): Douglas C. Lowy
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Steven H. Vogel
Hearing Site: Louisville, KY
Checkmark Icon$88

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