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FINRA Awards for Gilford Securities Incorporated

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0102301/12/2024Claimant(s): Samuel Wyman
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Gilford Securities Incorporated
Respondent Lawyers(s): Bonnie Sachs
Arbitrator(s): Sandra J. Mullings, Thomas Hansen Boast, Susan Romano
Hearing Site: New York, NY
19-0291106/22/2020Claimant(s): Joseph Medina
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Chase Investment Services Corp., Gilford Securities Incorporated
Respondent Lawyers(s): Bonnie Sachs, Michael H. Gibson
Arbitrator(s): Susan Romano
Hearing Site: New York, NY
12-0408307/11/2017Claimant(s): Denise Hoffman
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Gary Zwetchkenbaum, Gilford Securities Incorporated
Respondent Lawyers(s): David S. Richan, Eric J. Sussman
Arbitrator(s): Richard W. Vallario, Irwin Kahn, Anna Lascar
Hearing Site: New York, NY
Checkmark Icon$206,783
15-0102609/25/2015Claimant(s): Gilford Securities Incorporated
Claimant Lawyers(s): Michael Kalmus
Respondent(s): Peter Dubin
Respondent Lawyers(s): Peter David Dubin
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
12-0116402/13/2015Claimant(s): Linda Stillman Trust
Claimant Lawyers(s): Raquel Kraus
Respondent(s): Jonathan Stillman, Gilford Securities Incorporated, Linda Stillman Trust
Respondent Lawyers(s): Jonathan Stillman, Michael Kalmus
Arbitrator(s): Robert S. Getman, Timothy P. Kebbe, William H. Morley
Hearing Site: New York, NY
Checkmark IconSettlement
09-0105701/18/2011Claimant(s): Robert Micley, IRA, The Williamstown Anesthesia MPP Plan CH, The Williamstown Anesthesia MPP Plan DM, The Williamstown Anesthesia MPP Plan RM
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Bonnie Sachs, David Boutin, David Kaplan, Ralph Worthington, Robert Maley, Gilford Securities Incorporated
Respondent Lawyers(s): Thomas E. Chase
Arbitrator(s): William S. Tagerman, Deborah B. Haskell, Irene Scharf
Hearing Site: Boston, MA
Checkmark IconStipulated Award and Expungement
08-0395202/01/2010Claimant(s): Crisostomo ("Tom") Garcia, Crisostomo B. Garcia Trust
Claimant Lawyers(s): James P. Delphey
Respondent(s): Stephen Kaplan, Gilford Securities Incorporated
Respondent Lawyers(s): Gabriel A. Mendel, Martin H. Kaplan
Arbitrator(s): Guenter S. Cohn, Barry E. Kersh, Evelyn R. Wiggins
Hearing Site: San Diego, CA
Checkmark Icon$0
07-0113807/01/2008Claimant(s): Helen-Carolyn Ackerly
Claimant Lawyers(s): W. Alexander Melbardis
Respondent(s): Gilford Securities Incorporated
Respondent Lawyers(s): Michael Kalmus
Arbitrator(s): Joseph B. Russell, Kenneth L. Stewart, Joseph R. Brancaleone
Hearing Site: New York, NY
Checkmark Icon$58,000

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