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FINRA Awards for Judith E. Gross

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0245806/30/2011Claimant(s): David Dateshidze, Irakli Glonti
Claimant Lawyers(s): Arnold I. Kalman
Respondent(s): RBC Dain Rauscher.
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): James J. Fishman, Lucas A. Ferrara, Judith E. Gross
Hearing Site: New York, NY
Checkmark Icon$0
09-0079504/04/2011Claimant(s): Joseph Neira
Claimant Lawyers(s): Gary N. Moss
Respondent(s): Michael Hartzman, Randi Mason, Bristol Financial Services., J.P. Morgan Clearing Corp., Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Steven B. Feigenbaum, Thomas Vays
Arbitrator(s): Judith E. Gross, John Franklin Udochi, Martin A. Edelstein
Hearing Site: New York, NY
Checkmark IconExpungement
09-0422208/16/2010Claimant(s): Michelle Brilliant, Robert Hougie
Claimant Lawyers(s): David B. Gordon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Rebecca A. Novak, Judith E. Gross, Eva H. Posman
Hearing Site: New York, NY
Checkmark Icon$0
07-0347410/20/2008Claimant(s): Alan Lehman
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): Howard Corum, Chicago Investment Group
Respondent Lawyers(s): Elizabeth Neugent Dixon
Arbitrator(s): Judith E. Gross, Clarence Smith, Cheryl H. Agris
Hearing Site: New York, NY
Checkmark Icon$155,000

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