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FINRA Awards for Lek Securities Corporation

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0173112/06/2021Claimant(s): Livingston Asset Management LLC, Oscaleta Partners LLC, Queenston Partners LP, Trillium Partners LP
Claimant Lawyers(s): Steven Hicks
Respondent(s): Charles Lek, David Weiniger, Michael Mainwald, Ramute Zukas, Samuel Lek, Lek Securities Corporation
Respondent Lawyers(s): Adam M. Felsenstein
Arbitrator(s): Peter A. Goldman, Martin Mushkin, Edmund Timothy Donovan
Hearing Site: New York, NY
Checkmark Icon$0
15-0220104/13/2017Claimant(s): Lek Securities Corporation
Claimant Lawyers(s): David Wrobel
Respondent(s): Robert Wolfson
Respondent Lawyers(s): Robert A. Wolfson
Arbitrator(s): Gary Timothy Haight, Barbara M. Anscher, Christopher J. Hadsell
Hearing Site: San Francisco, CA
Checkmark Icon$0
15-0105603/07/2016Claimant(s): Alexander Morris
Claimant Lawyers(s): Alexander P. Morris
Respondent(s): Lek Securities Corporation
Respondent Lawyers(s): Andrew Shapiro
Arbitrator(s): Patricia A. DeWitt
Hearing Site: New York, NY
Checkmark Icon$2,440

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