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FINRA Awards for Robert J. Ambrogi

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Displaying 21-29 out of 29 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0241411/15/2013Claimant(s): Mark Pasillo, Susan Pasillo
Claimant Lawyers(s): Irwin Stein
Respondent(s): James Walsh
Respondent Lawyers(s): Robert J. Girard
Arbitrator(s): June Y. Kilmarx, Iris Taymore Schnitzer, Robert J. Ambrogi
Hearing Site: Boston, MA
Checkmark IconExpungement
11-0406305/24/2013Claimant(s): Steven Mink
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Augusta, ME
Checkmark IconExpungement
11-0387102/26/2013Claimant(s): Howard Christian
Claimant Lawyers(s): Howard J. Christian
Respondent(s): Edward McBride, Gregg Libutti, Jeffrey Endicott, AIG Retirement Advisors., Valic Financial Advisors.
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Robert J. Ambrogi, Edward Aptaker, Susan E. Maloney
Hearing Site: Boston, MA
Checkmark Icon$0
09-0052411/26/2012Claimant(s): Wachovia Securities
Claimant Lawyers(s): Len Weintraub
Respondent(s): Katherine Traver, RBC Capital Markets Corporation
Respondent Lawyers(s): Eric D. Brandfonbrener
Arbitrator(s): Ronald L. Cheney, Robert J. Ambrogi, Philip S. Wellman
Hearing Site: Montpelier, VT
11-0004806/20/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mike Naccarato
Respondent(s): Joan Gerhardt
Respondent Lawyers(s): Joan Gerhardt
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Providence, RI
Checkmark Icon$0
10-0104904/20/2011Claimant(s): Steven Tamsett
Claimant Lawyers(s): Peter A. Lagorio
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Michael J McAllister
Arbitrator(s): Thomas H. Tucker, Gerald H. Powers, Robert J. Ambrogi
Hearing Site: Boston, MA
10-0028102/15/2011Claimant(s): Caron Tsapatsaris
Claimant Lawyers(s): Jesse Jacobson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Laura W. Tholen
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
Checkmark Icon$0
09-0527011/04/2010Claimant(s): Anil Chawla
Claimant Lawyers(s): Anil K. Chawla
Respondent(s): Carol Ring, Gregg Libutti, Valic Financial Advisors.
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Robert J. Ambrogi, Nickolas F. Monteforte, Susan Lauder Stewart
Hearing Site: Boston, MA
Checkmark Icon$0
09-0415307/28/2010Claimant(s): Daniel Hanover
Claimant Lawyers(s): Laurie Alexander-Krom
Respondent(s): Cowen & Company
Respondent Lawyers(s): Lloyd S Clareman
Arbitrator(s): Robert J. Ambrogi, Thomas J. Donoghue, John Joseph Cotter
Hearing Site: Boston, MA

29 Results

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