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FINRA Awards for Yvonne F. Rocco

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0030007/13/2023Claimant(s): James Ko
Claimant Lawyers(s): James Ko
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): John A. Scudiero, Yvonne F. Rocco, Jeffrey Alan Helewitz
Hearing Site: Jersey City, NJ
Checkmark IconDismissed by Rule 12206
11-0392305/24/2013Claimant(s): Obsidian Financial Group, Llc
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Keith Steidle
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Yvonne F. Rocco, S. Charles Tabak, Jay Alan Kranis
Hearing Site: Newark, NJ

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