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FINRA Awards for Harvey Barrison

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Displaying 10 out of 21 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0043809/29/2021Claimant(s): Marwan Karnabi
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
Checkmark Icon$0
20-0163506/07/2021Claimant(s): Christ Baltas, Michael Chakos, Vincent Mangone
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Worden Capital Management LLC, Jamie Worden
Respondent Lawyers(s): William M. Dailey
Arbitrator(s): Robert J. Kheel, Harvey Barrison, Jerome Bernard McDevitt
Hearing Site: New York, NY
20-0228204/19/2021Claimant(s): Dennis Herrera
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Aegis Capital Corp., Blackbook Capital, Charles Vista LLC, Hunter Scott Financial LLC, John Thomas Financial
Respondent Lawyers(s): Anthony C. Naccarelli, Franklin Ogele, Gregg Lorenzo, Maria Cummings, Peter Gouzos
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
20-0137404/15/2021Claimant(s): Louis Rusinowitz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Michael J. Biondi
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
20-0050412/22/2020Claimant(s): Matthew Eitner
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Laidlaw & Company (UK) Ltd.
Respondent Lawyers(s): Alex Shtaynberger
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
19-0239906/26/2020Claimant(s): Stephen Caruso
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Tamara Skliar
Respondent Lawyers(s): Tamara Skliar
Arbitrator(s): Harvey Barrison, Shelley Teitelbaum, Howard L. Sobel
Hearing Site: New York, NY
Checkmark IconExpungement
19-0101710/11/2019Claimant(s): Steven Keats
Claimant Lawyers(s): Steven L. Keats
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
Checkmark Icon$0
18-0189908/28/2019Claimant(s): James Porz
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Harvey Barrison, Philip J De Bellis, Patricia Kathleen Costello
Hearing Site: New York, NY
Checkmark IconDismissed by Rule 12206/12504
18-0167007/24/2019Claimant(s): Kestra Financial., Kestra Investment Services
Claimant Lawyers(s): Richard D'Amura
Respondent(s): Stephen Luz
Respondent Lawyers(s): Jeb Singer
Arbitrator(s): Harvey Barrison, Marvin Schleyer, Michele S. Riley
Hearing Site: New York, NY
17-0343701/07/2019Claimant(s): Aldus Chapin, Chapin Family Trust
Claimant Lawyers(s): Aldus N Chapin
Respondent(s): TD Ameritrade., Citigroup Global Markets.
Respondent Lawyers(s): Richard C. Szuch, Simeon Schopf
Arbitrator(s): Harvey Barrison, Julian F. Santos, Pierre F. de Ravel d'Esclapon
Hearing Site: New York, NY
Checkmark IconExpungement

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