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FINRA Awards for Joel Margolies

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0162612/20/2013Claimant(s): Principle Capital Partners, L.P.
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Robert Topp
Arbitrator(s): Joel Margolies, Perry Earl Phillips, Harvey Russell Preston
Hearing Site: Boca Raton, FL
Checkmark Icon$137,000
09-0675707/06/2011Claimant(s): Stephen Miller and Dawn Miller
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Joel Margolies, Jeffrey R. Roth, Theodore Israel Herold
Hearing Site: Miami, FL
Checkmark IconExpungement

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