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FINRA Awards for Nicholas D. Thomas

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Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0399510/27/2021Claimant(s): Michael Williams
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): Brian Shambo, Daniel Markow, Kyle Morgan, Merrill Lynch Pierce Fenner & Smith Inc., Thomas Nelson
Respondent Lawyers(s): Rachael Luken Carp
Arbitrator(s): Lawrence Alan Saichek, Will Murphy, Magda M. Fernandez Torres
Hearing Site: Boca Raton, FL
12-0152506/14/2013Claimant(s): Daniel Bollinger
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): Kelly Tinsley, UBS Financial Services Inc.
Respondent Lawyers(s): Julian W. Wells
Arbitrator(s): Gerald L. Fingerhut, John Russell Barlow, Karen A. West
Hearing Site: Raleigh, NC
Checkmark IconExpungement
11-0052906/11/2012Claimant(s): Alice Muscara, Daniel Muscara
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): Brad Chamness, Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): Edward R. Niederriter, Gary King, Raymond Luis Leon
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
09-0564307/15/2010Claimant(s): Marilyn Hazell
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): David Dube
Respondent Lawyers(s): David William Dube
Arbitrator(s): Harvey Alan Blicksilver
Hearing Site: Orlando, FL
Checkmark Icon$400,000
10-0162905/10/2010Claimant(s): Marilyn Hazell
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): Peak Securities Corporation
Respondent Lawyers(s): David W. Dube
Arbitrator(s): Harvey Alan Blicksilver
Hearing Site: Orlando, FL
Checkmark Icon$400,000
09-0103312/30/2009Claimant(s): Walter D. Blake-Trustee
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): James Jahnsen, Marc Friedson, J. B. Hanauer & Co
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): George W. Rodormer
Hearing Site: Boca Raton, FL
Checkmark Icon$0

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