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FINRA Awards for John F. Duane

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0218010/19/2020Claimant(s): Amanda B. Straight Revocable Trust
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): John F. Duane, Gerald H. Grayson, Patricia Kathleen Costello
Hearing Site: New York, NY
Checkmark Icon$0
18-0202111/26/2018Claimant(s): Eli Levy
Claimant Lawyers(s): Avrum Aaron
Respondent(s): Alpine Securities Corporation
Respondent Lawyers(s): Michael Cruz
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
Checkmark Icon$38
15-0325603/02/2018Claimant(s): Estate of Barbara Weiden Schwartz Fischl
Claimant Lawyers(s): Douglas Desjardins
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert Serota
Arbitrator(s): John F. Duane, Linda J. Baer, Michael Jaffe
Hearing Site: New York, NY
Checkmark Icon$0
16-0007908/10/2017Claimant(s): Estate of Louis J. Levy
Claimant Lawyers(s): Richard J. Sillman
Respondent(s): Morgan Stanley & Co., Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Evonne W.J. Tolbert, John F. Duane, Brooks White
Hearing Site: New York, NY
Checkmark IconDismissed by Rule 12206
16-0297705/02/2017Claimant(s): Paul Boriello
Claimant Lawyers(s): Paul Boriello
Respondent(s): First Montauk Securities Corp.
Respondent Lawyers(s): Sarah Klein
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
Checkmark Icon$0
14-0312212/22/2016Claimant(s): Alastair Short
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Howard D. Jacob, John F. Duane, Clarence Smith
Hearing Site: New York, NY
Checkmark IconExpungement
11-0186612/21/2011Claimant(s): Zhenzhou Wang and Min Cao
Claimant Lawyers(s): Zhenzhou Wang
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Juli Aylesworth
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
Checkmark Icon$18,870
08-0458508/06/2009Claimant(s): Harold Kozupsky, Jeanette Kozupsky, Harold and Jeanette Kozupsky, IRA, Harold Kozupsky and Jeanette Kozupsky
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): George Gladman, Ronald Slevin, RBC Dain Raucher
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): John F. Duane, Alvin Green, James D. Yellen
Hearing Site: New York, NY
Checkmark IconStipulated Award and Expungement

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