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FINRA Awards for L.P.

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Displaying 61-70 out of 114 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0061412/22/2015Claimant(s): Lewis Booth
Claimant Lawyers(s): Adam Brett Wolf
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Elliott Zachary Seff, Eugene A. Taylor, Morris S. Getzels
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
14-0122010/28/2015Claimant(s): Colleen Levin, Jon Levin, Jon & Colleen Levin Trust dd 2/20/91
Claimant Lawyers(s): Michael D. Kennedy
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Larry Edmonson, Herbert Murez, Thomas W. Gregory
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
14-0035609/15/2015Claimant(s): Eden Falik
Claimant Lawyers(s): Rishi Bhandari
Respondent(s): BGC Financial, L.P.
Respondent Lawyers(s): Michael S. Popok
Arbitrator(s): Karen M. Cullen, Robert M. Goldstein, Harrison Johnson
Hearing Site: New York, NY
14-0118908/21/2015Claimant(s): Miriam Albert, Miriam Albert IRA, Richard and Miriam Albert Reocable Trust
Claimant Lawyers(s): David W. Miller
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig Bockman
Arbitrator(s): Philip H. Marmurowski, John G. Manley, Brian Pezzillo
Hearing Site: Las Vegas, NV
Checkmark IconExpungement
14-0241907/16/2015Claimant(s): John Gatens
Claimant Lawyers(s): Robert S. Balsam
Respondent(s): Daniel Lavecchia, Louis Scotto, Robert Kellan, BGC Financial, L.P.
Respondent Lawyers(s): Michael S. Popok
Arbitrator(s): Daniel B. Berkson, Robert E. Anderson, Thomas Michael Gandolfo
Hearing Site: New York, NY
12-0224207/16/2015Claimant(s): Robert Teel, Robert Charles LLC, Robert Charles & Co., L.P., Robert Charles Class A, Robert Charles L.P., Calvin Brown Memorial Trust
Claimant Lawyers(s): Leslie Wybiral, Louis F. Burke
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates, Paul J. Schumacher
Arbitrator(s): Helen W. Kinnaird, Gene S. Evenskaas, Deanna Margaret Veitia
Hearing Site: San Diego, CA
Checkmark Icon$327,000
14-0359306/03/2015Claimant(s): John Erickson
Claimant Lawyers(s): John F. Erickson
Respondent(s): William Nelson, Meyers Associates, L.P.
Respondent Lawyers(s): David S. Schrader
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Washington, DC
Checkmark Icon$0
13-0239005/15/2015Claimant(s): Ann McCorquodale, Knox McCorquodale, Rex McCorquodale
Claimant Lawyers(s): Andrew D. Gowdown
Respondent(s): Terry Chilton, Chilton Financial Services., Terry Chilton Financial Services, L.P.
Respondent Lawyers(s): Cory S. Reed
Arbitrator(s): Jack Chapline Vaughan, Allan R. Lazor, Daniel Stephen Dexter
Hearing Site: Houston, TX
Checkmark Icon$1,172,250
13-0118504/16/2015Claimant(s): Meyers Associates, L.P.
Claimant Lawyers(s): Benjamin Suess
Respondent(s): Bruce Meyers, Marlen Vigdorov
Respondent Lawyers(s): Benjamin Suess, Todd A. Zuckerbrod
Arbitrator(s): Michael H. DuBoff, Berton Seltzberg, Keely D. Parr
Hearing Site: New York, NY
11-0381503/27/2015Claimant(s): Walrus Master Fund Limited
Claimant Lawyers(s): Michael S. Schlesinger
Respondent(s): Goldman, Sachs and Company, Goldman Sachs Execution & Clearing, L.P.
Respondent Lawyers(s): Eric A. Bensky
Arbitrator(s): Boyd H. Scheff, Jean C. Black, David J. Weisenfeld
Hearing Site: New York, NY
Checkmark Icon$0

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