FINRA Awards for Richard D. De Vita

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-03696	09/20/2021	Claimant(s): Jay Fagan, Sandra Fagan Claimant Lawyers(s): Richard D. De Vita Respondent(s): Morgan Stanley Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Howard J. Stiefel, Francis Carling, Richard Lee Mansdoerfer Hearing Site: New York, NY		Expungement
13-01793	07/25/2014	Claimant(s): Daniel Bosch, Margaret Bosch Claimant Lawyers(s): Richard D. De Vita Respondent(s): Wells Fargo Advisors, Banc of America Investment Services Inc. Respondent Lawyers(s): Dominck F. Evangelista, Susan E. Mulholland Arbitrator(s): Jon Martino, Louis P. Wagman, Jacob Scherer Hearing Site: Newark, NJ		Expungement
09-06914	03/08/2011	Claimant(s): Edwin Christensen Claimant Lawyers(s): Richard D. De Vita Respondent(s): Rocco Mongelli Respondent Lawyers(s): Robert Bertsch Arbitrator(s): John Richard Lynch Hearing Site: Albany, NY		Stipulated Award
08-00086	06/30/2009	Claimant(s): Peter Ramos and Karen Ramos Claimant Lawyers(s): Peter S. Pearlman Respondent(s): Genworth Financial Securities Corporatio Respondent Lawyers(s): Richard D. De Vita Arbitrator(s): Alan Shaw, Philip Rachmelowitz, Stephen L. Lister Hearing Site: New York, NY		Stipulated Award and Expungement