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FINRA Awards for Gene L. Small

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Displaying 21-22 out of 22 results
Case Number Award Date Case Summary Customer Case? Amount Granted
07-0266205/29/2009Claimant(s): Murphy & Durieu
Claimant Lawyers(s): James M. Moriarty
Respondent(s): Cindy Dodeles, David Dodeles, J.P. Morgan Securities, Louis Cesario, RBC Capital Markets Corporation, Hamershlag, Dodeles & Co., Penson Financial Services.
Respondent Lawyers(s): Cindy Dodeles, David S. Richan, Gene L. Small, Ivan Dodeles, Joseph F. Keenan, Louis Cesario
Arbitrator(s): David S. Billet, Robert Pincus, Anthony J. Raimondi
Hearing Site: New York, NY
07-0348404/27/2009Claimant(s): Bear, Stearns & Co. LLC
Claimant Lawyers(s): Gene L. Small
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Alain Leibman
Arbitrator(s): Richard D. Chusid, Kinchen C. Bizzell, Farrell C. Glasser
Hearing Site: New York, NY

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