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FINRA Awards for Richard J. Babnick

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0287906/08/2023Claimant(s): Roger Squires
Claimant Lawyers(s): Roger B. Squires
Respondent(s): Laidlaw & Company (UK) Ltd.
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): Morton S. Bunis, Edward W. Morris, Stefan Savic
Hearing Site: New York, NY
Checkmark Icon$0
20-0003003/31/2023Claimant(s): Fran Rooney
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Alex Shtaynberger, James Ahern, John Coolong, Matthew Eitner, Laidlaw & Company (Uk) Ltd.
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): Eva H. Posman, Paul Bennett Marrow, Clara Schwabe
Hearing Site: New York, NY
Checkmark Icon$57,750
19-0185501/28/2022Claimant(s): David Frost
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Kevin Wilson, Laidlaw & Company (UK) Ltd.
Respondent Lawyers(s): Kevin Richard Wilson, Richard J. Babnick
Arbitrator(s): Ilene T. Gormly, Robert J. Carlson, Joseph Neal Richardson
Hearing Site: Wichita, KS
Checkmark Icon$0
19-0119901/26/2022Claimant(s): Pamela A. Frost IRA
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Kevin Wilson, Laidlaw & Company (Uk) Ltd.
Respondent Lawyers(s): Kevin Richard Wilson, Richard J. Babnick
Arbitrator(s): Kelley L Cornelius, Ilene T. Gormly, Lawrence R. Maxwell
Hearing Site: Wichita, KS
Checkmark Icon$60,205
17-0088007/12/2018Claimant(s): Ferrospes AS
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): George Calhoun, Laidlaw & Company (Uk) Ltd.
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): James J. Fishman, Pamela H. Roderick, Clarence Smith
Hearing Site: New York, NY
Checkmark Icon$25,000
13-0203607/11/2014Claimant(s): Rolf Hanggi
Claimant Lawyers(s): Sam Schwartz
Respondent(s): Emilio Disanluciano, Frank Mazzola, Felix Investments LLC
Respondent Lawyers(s): Aegis Frumento, Richard J. Babnick, Susan Diamond
Arbitrator(s): Arnold Wagner, Sandra J. Mullings, Robert J. Miller
Hearing Site: New York, NY
Checkmark Icon$0
13-0163611/27/2013Claimant(s): Laidlaw & Company (UK) Ltd.
Claimant Lawyers(s): Richard J. Babnick
Respondent(s): Falcon Investment Partners Limited
Respondent Lawyers(s): Alexandra J. Marinzel
Arbitrator(s): Mary Ellen Burns, Lisa Catalano, Sally Jane Sancimino
Hearing Site: New York, NY
Checkmark Icon$0
07-0223411/06/2008Claimant(s): Alan Greenwood
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Adam Maggio, Michael Wittenberg, J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): Linda B. Kelly, David A. Schuler, Catherine M. Norman
Hearing Site: Dallas, TX
Checkmark IconStipulated Award and Expungement

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