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FINRA Awards for Susan Mills Richmond

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0467309/23/2011Claimant(s): Bruce D. Angiolillo and Carol Angiolillo
Claimant Lawyers(s): Mitchell Berns
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Susan Mills Richmond, Zuhayr A. Moghrabi, Erica Bunin
Hearing Site: New York, NY
Checkmark Icon$1,125,140
09-0517211/16/2010Claimant(s): National Financial Services.
Claimant Lawyers(s): Michael G. Shannon
Respondent(s): John Stroud, Stroud Capital Fund, Stroud Capital GP, Stroud Capital Management LLC
Respondent Lawyers(s): David Stroud
Arbitrator(s): Douglas F. Stone, Susan Mills Richmond, Clarence Smith
Hearing Site: New York, NY
Checkmark Icon$0

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