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FINRA Awards for Barry A. Mainardi

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0550701/12/2012Claimant(s): Palatine Capital Investment Group
Claimant Lawyers(s): Harold P. Gewerter
Respondent(s): Alpine Securities Corporation
Respondent Lawyers(s): Erik A. Christiansen
Arbitrator(s): Douglas Edwards, Howard W. Shannon, Barry A. Mainardi
Hearing Site: Las Vegas, NV
Checkmark Icon$0
07-0270803/02/2011Claimant(s): Carol Flier, Nicole Flier, First Savings Bank C/F Dennis Flier IRA, Dennis Flier. Defined Benefit Trust, Flier Family Trust DTD 1/21/98
Claimant Lawyers(s): Dennis Flier
Respondent(s): Financial West Group
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Barry A. Mainardi, Robert Rosen, Philip H. Marmurowski
Hearing Site: Las Vegas, NV
Checkmark Icon$0
08-0230709/09/2009Claimant(s): Elsie Kelly, Raymond Kelly, Raymond O's Kelly & Elsie M. Ke U/A dtd, Raymond O's Kelly Rev Liv Trust U/A dtd
Claimant Lawyers(s): Thomas A. Hargett
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Paul H. Lamboley, Barry A. Mainardi, Darryl J. Horowitt
Hearing Site: Reno, NV
Checkmark Icon$100,080

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