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FINRA Awards for Richard A. Stephens

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Displaying 11-13 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0074810/28/2009Claimant(s): Alan Evans
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Ettore Ventrice, Michael Bober, Sanford Steinberg
Respondent Lawyers(s): James D. Sallah
Arbitrator(s): Sheldon I. Saitlin, Richard J. Kaplan, Edwin J. Slovitt
Hearing Site: Boca Raton, FL
Checkmark Icon$0
08-0053307/13/2009Claimant(s): William Corcoran
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Prestige Financial Center.
Respondent Lawyers(s): Jonathan B. Butler
Arbitrator(s): John N. Breazeale, David P. Slater, Richard J. Kaplan
Hearing Site: Boca Raton, FL
Checkmark Icon$402,253
07-0348712/10/2008Claimant(s): Vincent P. Miraglia, MD, PA, Trustee
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Marie G. Peterson, Barry S. Shanbron, James Chris Mills
Hearing Site: Boca Raton, FL
Checkmark Icon$0

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