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FINRA Awards for Michael Schwartzberg

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0364604/07/2023Claimant(s): John Kruk, Kruk Joint Revocable Trust UAD 1-30-17
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Brian Megley, Cetera Advisors LLC
Respondent Lawyers(s): Michael Schwartzberg
Arbitrator(s): Jim Geiger, Diane Ciccone, Jeremy M. Bloomenthal
Hearing Site: Providence, RI
Checkmark IconExpungement
14-0141508/05/2016Claimant(s): Susan Mueller
Claimant Lawyers(s): Dale R. Jensen
Respondent(s): David Thompson, Wall Street Financial Group.
Respondent Lawyers(s): Marni Rae Robin, Michael Schwartzberg
Arbitrator(s): Richard E. Lauziere, Christopher M. McMurray, David R. Johnson
Hearing Site: Richmond, VA
Checkmark Icon$0
12-0273406/09/2014Claimant(s): Kaylyn Kelsey Kerr 1989 Trust, Kaylyn Kerr Irrevocable Trust
Claimant Lawyers(s): Bryan Forman
Respondent(s): Donald Donahue, John Mahoney, Suzanne Gavin, 1st Worldwide Financial Partners, Llc
Respondent Lawyers(s): John F. Mahoney, Michael Schwartzberg, Suzanne Gavin Mahoney
Arbitrator(s): William E. Hartsfield, Robert L. Chisolm, Russell Phillips Gandy
Hearing Site: Dallas, TX
Checkmark IconExpungement
11-0086206/06/2012Claimant(s): Melaine LLC
Claimant Lawyers(s): Richard Kraut
Respondent(s): Neal Deutsch, Chestnut Investment Group, First Allied Securities.
Respondent Lawyers(s): Michael Schwartzberg
Arbitrator(s): Linda R. Alpert, Linda Ashley, Sheryl-Anne Sastow
Hearing Site: New York, NY
Checkmark Icon$0
06-0375305/06/2008Claimant(s): Richard B., and Lucy A. Barnes
Claimant Lawyers(s): Devanshu L. Modi
Respondent(s): Summit Equities.
Respondent Lawyers(s): Michael Schwartzberg
Arbitrator(s): Cynthia H. Plishtin, Alan Shaw, Richard V. Adams
Hearing Site: New York, NY
Checkmark Icon$0

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