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FINRA Awards for Glenn S. Gitomer

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0361001/14/2014Claimant(s): Joseph Czarnecki, Nancy Czarnecki
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): Securities America., Michael Sztrom, Raymond Lucia, First Allied Securities., RJL Wealth Management, Raymond J. Lucia Companies.
Respondent Lawyers(s): Denis C. Dice, Michael Sztrom, Neal S. Robb
Arbitrator(s): Sheldon Seligsohn, Ethan L. Lewis, Laura A. Kaster
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
12-0252611/26/2013Claimant(s): Maryann Araman, Antone Araman
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Diane Ciccone, Kathleen L. Daerr-Bannon, Timothy James Potero
Hearing Site: Philadelphia, PA
Checkmark Icon$674,030
10-0306701/05/2012Claimant(s): Nicole Perry
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Michael J. McAllister
Arbitrator(s): David S. Billet, John J. Witkowski, Martin H. Jaffe
Hearing Site: New York, NY
Checkmark Icon$6,109,110
09-0714504/14/2011Claimant(s): Michael Duddy, Nuala Duddy, Michael J. Duddy and Nuala C. Duddy
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): Richard N. Kelmans, Rochelle K. Kaplan, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
Checkmark Icon$100,000
09-0188106/07/2010Claimant(s): Betsy Klausman, Michael Klausman, IRA, MIchael Klausman, Roth IRA
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): J. Alden Associates.
Respondent Lawyers(s): Rita Durant
Arbitrator(s): Benjamin F. Richards, Daniel E. Bacine, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
Checkmark Icon$0

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