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FINRA Awards for Ian H. Hummel

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0135909/27/2019Claimant(s): Harry Olivar
Claimant Lawyers(s): Harry A. Olivar
Respondent(s): Keith Goodman, Michael Solomon, Maxim Group LLC
Respondent Lawyers(s): Ian H. Hummel
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
Checkmark Icon$0
15-0349205/13/2019Claimant(s): Dolores Soccodato
Claimant Lawyers(s): Brad S. Maistrow
Respondent(s): Mark Ketner, Maxim Group LLC
Respondent Lawyers(s): Ian H. Hummel
Arbitrator(s): Julian F. Santos, Alice E. Winkler, Susan Manca
Hearing Site: New York, NY
Checkmark Icon$226,356
18-0116501/04/2019Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Ian H. Hummel
Respondent(s): First Cap. Real Estate Investments, First Cap. Real Estate Op. P'ship LP, First Capital Real Estate Advisors LP, First Capital Real Estate Trust Inc.
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Gerry E. Feinberg, Morton S. Bunis, Megan Brillault
Hearing Site: New York, NY
Checkmark Icon$0
14-0224610/02/2015Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Ian H. Hummel
Respondent(s): Steven Liebman, SML Capital Group LLC
Respondent Lawyers(s): Steven Liebman
Arbitrator(s): Amy Y. Moy, Ronald Harris Kisner, Edward F. Zagajeski
Hearing Site: New York, NY
Checkmark Icon$0

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