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FINRA Awards for Steven T. Stern

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0102010/06/2021Claimant(s): Nancy Tucker
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Steven T. Stern, Gordon M. Wase, Kerrie A. Campbell-Garrett
Hearing Site: Philadelphia, PA
Checkmark Icon$104,900
17-0333901/15/2019Claimant(s): Cathy Carter
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Ronald L. Cheney, Steven T. Stern, William Norton
Hearing Site: Manchester, NH
Checkmark Icon$2,630,140
17-0101806/15/2018Claimant(s): Judith Craig
Claimant Lawyers(s): Theodor Swansen
Respondent(s): David McDonald, J.J.B. Hilliard, W.L. Lyons, Mark Kregor
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): John J. Jordan, Steven T. Stern, Stephen J. Scherf
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
15-0139508/10/2016Claimant(s): Thomas Suchocki
Claimant Lawyers(s): Raymond J. Zane
Respondent(s): Scott Wiese, Sun National Bank, Invest Financial Corporation
Respondent Lawyers(s): Barry Temkin, James A. Kellar, Kate E. DiGeronimo
Arbitrator(s): Steven T. Stern, Timothy C Russell, Mary Jane Walk
Hearing Site: Philadelphia, PA
Checkmark Icon$0
13-0305412/30/2014Claimant(s): Wayne Lewis
Claimant Lawyers(s): Wayne R. Lewis
Respondent(s): Ameriprise Financial Services., Lawrence Van Ollefen
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Steven T. Stern, Louis P. Wagman, Kathleen Jones Spilker
Hearing Site: Philadelphia, PA
Checkmark Icon$0
09-0656801/11/2013Claimant(s): John Turtzo, Estate of John A. Turtzo
Claimant Lawyers(s): Malcolm J. Gross
Respondent(s): Citigroup Global Markets., Peter Joseph, Ray Starner
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Marshall S. Galinsky, Steven T. Stern, Richard Frank Colello
Hearing Site: Philadelphia, PA
Checkmark Icon$0
08-0410704/05/2010Claimant(s): Alan Wein, Noele Wein, Nolan Services.
Claimant Lawyers(s): Michael B. Dubin
Respondent(s): Jeffrey Schrader, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano, Michael Kalmus
Arbitrator(s): Steven T. Stern, Dale A. Pope, David B. Harwi
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
06-0259412/06/2007Claimant(s): Louie Kau Wang and June Ting Wang
Claimant Lawyers(s): Joseph F. Kornicki
Respondent(s): Howard Moses, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Jim Geiger, Steven T. Stern, Richard Frank Colello
Hearing Site: Philadelphia, PA
Checkmark Icon$0

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