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FINRA Awards for Concept Capital Markets

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0187712/29/2017Claimant(s): Bright Lake Management LLC, Bright Lake LP
Claimant Lawyers(s): Ilan Preis
Respondent(s): Broadcort Capital Corporation, Jack Seibald, Merrill Lynch Pierce Fenner & Smith Inc., Michael Rosen, Robert Moore, Concept Capital Markets, Cowen Prime Services LLC, Merrill Lynch Professional Clearing Corp
Respondent Lawyers(s): Mark D. Knoll, Mark J. Hyland
Arbitrator(s): Anna M. Fanelli, Lynne M. Reid-McQueen, Richard Gee
Hearing Site: New York, NY
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