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FINRA Awards for Gerry J. Kowalski

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0203511/20/2018Claimant(s): Kenneth Ebbe
Claimant Lawyers(s): Blake Godbout
Respondent(s): Jill Cody, Richard Cody, Concorde Investment Services, Westminster Financial Advisory Corp., Westminster Financial Securities.
Respondent Lawyers(s): Gerry J. Kowalski, Jill M. Cody, Joseph S. Simms, Richard Grant Cody
Arbitrator(s): James R. Collins, Christine R. Fitzgerald, Mary E. Bassett
Hearing Site: Boston, MA
Checkmark Icon$286,096
08-0139403/31/2009Claimant(s): Sarah Chang
Claimant Lawyers(s): Nehemiah C. Chang
Respondent(s): Tucker Braddock, AIG Retirement Advisors.
Respondent Lawyers(s): Gerry J. Kowalski
Arbitrator(s): Paul Greenberg, Robert H. Boorman, Michael Louis Gompertz
Hearing Site: Washington, DC
Checkmark Icon$0

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