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FINRA Awards for John H. Claudy

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0007010/27/2014Claimant(s): Allen Pilnick
Claimant Lawyers(s): Allen A. Pilnick
Respondent(s): Joel Orris, Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Steven Gerard Goerke, John H. Claudy, Allen Robin
Hearing Site: Boca Raton, FL
Checkmark Icon$0
10-0574104/01/2013Claimant(s): Oscar Ovalles
Claimant Lawyers(s): Gabriel Groisman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Nancy J. Cliff, Todd M. Saunders, John H. Claudy
Hearing Site: Miami, FL
Checkmark IconExpungement
11-0316609/25/2012Claimant(s): Bernard Kaszovitz, Floradahl Sacks Trust
Claimant Lawyers(s): David H. Charlip, Stephen David Murakami
Respondent(s): Sean Clancy, Janney Montgomery Scott LLC
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Seth L. Finkel, John H. Claudy, Thomas Roy Spencer
Hearing Site: Miami, FL
Checkmark IconExpungement
10-0229911/16/2011Claimant(s): Dramm.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wes Holston
Arbitrator(s): Lewis J. Levey, Jeffrey R. Roth, John H. Claudy
Hearing Site: Miami, FL
Checkmark IconExpungement
09-0605504/19/2011Claimant(s): Gary Hillert
Claimant Lawyers(s): Scott L. Silver
Respondent(s): The GMS Group
Respondent Lawyers(s): John E. Jenkins
Arbitrator(s): Frances D. Sheehy, John H. Claudy, Theodore Israel Herold
Hearing Site: Boca Raton, FL
Checkmark Icon$0
09-0426904/05/2011Claimant(s): Charlotte Leitner IRA, Lionel Leitner Revocable Trust, Lionel/Charlotte Leitner Family Trust, The Charlotte Lleitner Revocable Trust
Claimant Lawyers(s): Michael P. Amad
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Paul M. Tyrrell
Arbitrator(s): Richard J. Kaplan, Michael J. Fingar, John H. Claudy
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
08-0305105/14/2010Claimant(s): Desa Trading Co.
Claimant Lawyers(s): Mark D. Hunter
Respondent(s): Carlos Garcia, Advanced Trading Services
Respondent Lawyers(s): Carlos Manuel Garcia
Arbitrator(s): Todd M. Saunders, Jeffrey R. Roth, John H. Claudy
Hearing Site: Miami, FL
Checkmark Icon$125,000
08-0262002/01/2010Claimant(s): The Richard Ritchie Trust, The Roberta Ritchie Trust
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Keith Pagan, Dakota Securities International.
Respondent Lawyers(s): Bruce Zipper, President, Paul A. Alsdorf
Arbitrator(s): Monroe Mitchel, John H. Claudy, Paul Chernis
Hearing Site: Charlotte, NC
Checkmark IconExpungement

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