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FINRA Awards for Thomas J. Fleming

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0021203/24/2016Claimant(s): Newoak Capital LLC, Newoak Capital Markets LLC
Claimant Lawyers(s): Joseph M. Pastore
Respondent(s): Alexander Sellinger, Bryan Nagy, Patrick Mahon, Samuel Warren, Brean Capital
Respondent Lawyers(s): Thomas J. Fleming
Arbitrator(s): Jeffrey F. Friedman, Steven J. Brill, Michele S. Riley
Hearing Site: New York, NY
13-0001602/18/2015Claimant(s): Jay Lehman, Lawrence Monaldo, Sheldon Sevinor, David Cormier DDS Pension Plan, Northshore Oral Surgery Group PC, Plastic Surgery Services FBO: S. Sevinor
Claimant Lawyers(s): Dimitri Nemirovsky, Kevin D. Galbraith
Respondent(s): Jack Brimberg, Jay Tomlinson, William Lewis, Brimberg & Co., Monarch Capital Group
Respondent Lawyers(s): Allen C. Miller, Robert L. Herskovits, Thomas J. Fleming
Arbitrator(s): Hugh N. Fryer, Joel P. Mellis, John Nino Brenkovich
Hearing Site: New York, NY
Checkmark Icon$56,703
10-0063703/09/2012Claimant(s): Bristol Investment Fund, Ltd.
Claimant Lawyers(s): Thomas J. Fleming
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Christine Costigan, Lowell D. Johnston, John Franklin Udochi
Hearing Site: New York, NY
Checkmark Icon$0

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