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FINRA Awards for Belle Haven Investments

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Case Number Award Date Case Summary Customer Case? Amount Granted
22-0293405/02/2023Claimant(s): Joseph Dalton
Claimant Lawyers(s): Aleaha N. Jones
Respondent(s): Belle Haven Investments, L.P.
Respondent Lawyers(s): Paul J. Bazil
Arbitrator(s): Selma Moy
Hearing Site: New York, NY
21-0188111/05/2021Claimant(s): Frank Delli Carpini
Claimant Lawyers(s): David I. Hantman
Respondent(s): Belle Haven Investments, L.P.
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Susan Romano
Hearing Site: New York, NY
09-0636105/17/2012Claimant(s): The Estate of George T. Arns, The Arns Family Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Frank Delli Carpini, Pershing LLC, UBS Financial Services Inc., Belle Haven Investments, L.P.
Respondent Lawyers(s): Amy B. Bard, Garry Lischin, Matthew Tracy
Arbitrator(s): Kinchen C. Bizzell, Saul Scheier, Ellyn S. Roth
Hearing Site: New York, NY
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