FINRA Awards for Windsor Street Capital

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-00620	06/25/2020	Claimant(s): Frieda McCay, Terry McCay, Terry McCay & Frieda C. McCay Rev Trust Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Anthony Mastroianni, John Riccardi, Windsor Street Capital Respondent Lawyers(s): Anthony Mastroianni, John F. Riccardi, John W. Stalanski Arbitrator(s): Lita S Menkin Hearing Site: Nashville, TN		$250,000
19-03127	01/29/2020	Claimant(s): Thomas Hallenbeck, Thomas Hallenbeck IRA Claimant Lawyers(s): Bradley D. Schnur Respondent(s): Windsor Street Capital Respondent Lawyers(s): John W. Stalanski Arbitrator(s): Deanna M. Tuley Hearing Site: Denver, CO		Dismissed
18-01421	04/01/2019	Claimant(s): Wendy McDaniel Claimant Lawyers(s): Scott L. Silver Respondent(s): Windsor Street Capital Respondent Lawyers(s): John Stalanski Arbitrator(s): Daniel J. Pagnano Hearing Site: Houston, TX		$100,000
17-00756	10/02/2018	Claimant(s): David Morin Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Windsor Street Capital Respondent Lawyers(s): John Stalanski, CCO Arbitrator(s): R. Lee Britton Jr., Montie G. Grimes, Jonathan Charles Day Hearing Site: Houston, TX		$287,186
17-00360	08/13/2018	Claimant(s): Mary Shea, Patrick Shea Claimant Lawyers(s): Adam Gana Respondent(s): Windsor Street Capital Respondent Lawyers(s): Compliance Officer Arbitrator(s): Tracy L. Allen, Michael S. Jordan, David E. Jarvis Hearing Site: Milwaukee, WI		$4,978,000