FINRA Awards for Hightower Securities

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Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
19-03721	08/13/2021	Claimant(s): Michael Rosenberg Claimant Lawyers(s): Courtney Werning Respondent(s): Hightower Securities Respondent Lawyers(s): David C. Peet Arbitrator(s): Anthony Michael Sabino, Terrance J. Nolan, Edmund Timothy Donovan Hearing Site: New York, NY		$163,201
20-01385	07/16/2021	Claimant(s): James Meeker, Dorothy Lorentzen Trust, James Meeker Discretionary Trust Claimant Lawyers(s): Judd R. Spray Respondent(s): Jeffrey Sullivan, Steven Ayer, HighTower Advisors, Hightower Securities Respondent Lawyers(s): Meghan E. Flinn Arbitrator(s): Sandra D. Parker, Paul Bennett Marrow, Brian John Gallagher Hearing Site: New York, NY		$425
17-02090	11/23/2020	Claimant(s): Colleen Simmons, Kenneth Thompson, Kenneth P. Thompson ROTH IRA, Simmons Living Trust U/A 08/30/02, Thompson Living Trust U/A 05/31/02 Claimant Lawyers(s): Jonathan W. Evans Respondent(s): Hightower Securities, Hightower Advisors Respondent Lawyers(s): Matthew B. Henneman Arbitrator(s): Richard M. Norman, Robert E. Jenks, Milton N. Gross Hearing Site: Los Angeles, CA		Settlement