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FINRA Awards for Dan Brecher

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0155008/28/2018Claimant(s): Kimberly Ambrosio, Luigi Ambrosio, Rose Marie Ambrosio
Claimant Lawyers(s): David J. Sutton
Respondent(s): Ladenburg Thalmann & Co. Inc., Ladenburg Thalmann Asset Management
Respondent Lawyers(s): Michael D. Handelsman
Arbitrator(s): Dan Brecher, Roy Lukins Rowsell, Gerald M. Levine
Hearing Site: New York, NY
Checkmark IconExpungement
13-0359507/11/2018Claimant(s): EFCO Products Defined Contribution, EFCO Products Defined Contribution Union, EFCO Products Profit Sharing/401(K) Plan
Claimant Lawyers(s): Sandra P. Lanhens
Respondent(s): Candace Weir, C. L. King & Associates.
Respondent Lawyers(s): Christopher Robertson, Richard A. Roth
Arbitrator(s): Dan Brecher, Daniel Robbins, Annamaria Boccia Smith
Hearing Site: New York, NY
Checkmark Icon$0

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