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FINRA Awards for Thomas A. Cipolla

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0380905/27/2021Claimant(s): Gerardo Brauer, Reyna Reichert
Claimant Lawyers(s): Gerardo Brauer
Respondent(s): John McDermott, UBS Financial Services Inc., Paul Campbell, Robert McCann
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Thomas A. Cipolla, G. Maynard Green, Robin Pacholder
Hearing Site: Houston, TX
Checkmark Icon$0
14-0182201/20/2016Claimant(s): Alan Azar
Claimant Lawyers(s): Royal B. Lea
Respondent(s): EDI Financial.
Respondent Lawyers(s): Joseph L. Hood
Arbitrator(s): Thomas A. Cipolla, Richard F. Dole, Sherry R. Wetsch
Hearing Site: Houston, TX
Checkmark Icon$273,606
09-0623007/27/2011Claimant(s): JCE/CBI, Ltd.
Claimant Lawyers(s): Thane Tyler Sponsel
Respondent(s): Morgan Stanley, Toni Melinder
Respondent Lawyers(s): Debra Achkire
Arbitrator(s): Thomas A. Cipolla, Sherry R. Wetsch, Thomas C. Gallo
Hearing Site: Houston, TX
Checkmark IconStipulated Award and Expungement

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