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FINRA Awards for Herbert N. Fishman

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0290804/21/2011Claimant(s): Advanced Delivery & Chemical Systems Hol
Claimant Lawyers(s): Joseph J. Sullivan
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): George Sommerfeld, David S. Paul, Herbert N. Fishman
Hearing Site: New York, NY
Checkmark Icon$0
03-0847704/06/2009Claimant(s): Jack Schwartz
Claimant Lawyers(s): Laurens R. Schwartz
Respondent(s): Donald Rosenthal, Citigroup Global Markets., James Schwarz
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): John A. Borgese, Samuel B. Folsom, Herbert N. Fishman
Hearing Site: New York, NY
Checkmark IconStipulated Award and Expungement

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