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FINRA Awards for Robert C. Harris

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Displaying 9 out of 9 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0370110/04/2024Claimant(s): Perella Weinberg Partners
Claimant Lawyers(s): Michael C. Deutsch
Respondent(s): Jason McCoy, Ken McCoy, Mission Coal Funding
Respondent Lawyers(s): Robert C. Harris
Arbitrator(s): Stuart K. Furman, Mauricio Arcadier, Richard Merritt Langway
Hearing Site: Orlando, FL
Checkmark Icon$626,250
19-0205302/05/2021Claimant(s): Beverley Schottenstein, Beverly B. Schottenstein, as Co-Trustee
Claimant Lawyers(s): Scott C. Ilgenfritz
Respondent(s): Avi Schottenstein, Evan Schottenstein, J.P. Morgan Securities
Respondent Lawyers(s): Gabrielle L. Gould, Jonathan J. Brennan, Robert C. Harris
Arbitrator(s): James M. Scutti, David Rich, Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
Checkmark Icon$18,947,500
19-0001807/29/2020Claimant(s): Ellin Einhorn IRA, Stuart M. Einhorn Rollover IRA
Claimant Lawyers(s): Robert C. Harris
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Amanda M. Cole
Hearing Site: Jacksonville, FL
Checkmark IconSettlement
17-0163401/08/2019Claimant(s): Daniel Weil
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Stacey Lavender-Mayers, Trevor Saliba, NMS Capital Advisors., NMS Capital Securities
Respondent Lawyers(s): Robert C. Harris
Arbitrator(s): Colette Manoil, Paul Gregory Smith, Arthur Thomas Carr
Hearing Site: Boston, MA
17-0198712/14/2018Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel Mauch
Respondent(s): Richard Hartnett
Respondent Lawyers(s): Robert C. Harris
Arbitrator(s): Jack A. Helms
Hearing Site: Columbia, SC
16-0265302/28/2018Claimant(s): Elaine Sommer, Richard Sommer, Elaine and Richard Sommer Joint Account, Elaine Sommer Revocable Trust, Richard Sommer Trust U/A DTD 1/13/95
Claimant Lawyers(s): Robert C. Harris
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Joseph Benalt, Donald Theodore Ryce, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
14-0347607/14/2015Claimant(s): Helena Harnash
Claimant Lawyers(s): Todd S. Roth
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Robert C. Harris
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
Checkmark Icon$0
13-0223705/14/2014Claimant(s): Michael Kelleher
Claimant Lawyers(s): Robert C. Harris
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jerrold Levine
Hearing Site: Miami, FL
12-0042112/18/2012Claimant(s): Baerbel O'Haire, Joseph Fessler
Claimant Lawyers(s): Robert C. Harris
Respondent(s): James Gray, Kaye Gray
Respondent Lawyers(s): James Brian Gray, Kaye M. Gray
Arbitrator(s): Frances D. Sheehy, Kathy N. Novick, Sherry Puro
Hearing Site: Boca Raton, FL
Expungement

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