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FINRA Awards for Arthur M. Handler

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Displaying 7 out of 7 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0140711/25/2019Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Paul Liebman
Respondent Lawyers(s): Paul Gary Liebman
Arbitrator(s): Arthur M. Handler
Hearing Site: New York, NY
19-0030010/29/2019Claimant(s): James Mariani
Claimant Lawyers(s): Tosh D. Grebenik,
Respondent(s): National Securities Corporation, First Montauk Securities Corp.
Respondent Lawyers(s): Fred N. Knopf, Robert I. Rabinowitz
Arbitrator(s): Arthur M. Handler
Hearing Site: New York, NY
16-0065401/18/2018Claimant(s): James Knoeller
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Mizuho Securities Usa Inc.
Respondent Lawyers(s): Philip A. Goldstein
Arbitrator(s): Keely D. Parr, Arthur M. Handler, Blossom Nicinski
Hearing Site: New York, NY
15-0085007/14/2016Claimant(s): Julian Stoopler
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Michael J. McAllister
Arbitrator(s): Arthur M. Handler, Leslie Ruth Nydick, Kim Daly Kelly
Hearing Site: New York, NY
13-0180811/25/2015Claimant(s): Jason Goldstein
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Karen M. Steel
Arbitrator(s): Richard D. Gueren, Arthur M. Handler, Andrew M. Schmertz
Hearing Site: New York, NY
13-0336412/22/2014Claimant(s): Richard Brooks
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Alexandra L. Dunaif, Arthur M. Handler, David J. Weisenfeld
Hearing Site: New York, NY
Checkmark Icon$0
12-0289505/30/2014Claimant(s): Melvin Shapiro and Linda Shapiro
Claimant Lawyers(s): Jospeh A. Sack
Respondent(s): Brian Kaplan, Erik Fiebert, Deutsche Bank Alex.Brown
Respondent Lawyers(s): Donald N. Cohen
Arbitrator(s): Christina Kallas, Arthur M. Handler, Brooks White
Hearing Site: New York, NY
Checkmark IconExpungement

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