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FINRA Awards for Dresdner Kleinwort Securities LLC

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0161702/24/2011Claimant(s): Timothy Burnett
Claimant Lawyers(s): Timothy Burnett
Respondent(s): Dresdner Kleinwort Securities LLC
Respondent Lawyers(s): Kenneth J. Kelly
Arbitrator(s): James N. Baxter, Martin A. Edelstein, David Serko
Hearing Site: New York, NY
09-0349301/25/2011Claimant(s): Amy Dunn, Brian Langille, Christian Miller, Ricardo Zulliger, Tanya Lincevski, Vincent Bilello, Vincent Faust
Claimant Lawyers(s): James M. Griffin
Respondent(s): Dresdner Kleinwort Securities LLC
Respondent Lawyers(s): Kenneth J. Kelly
Arbitrator(s): Gary W. Sherbell, Edwin H. Nordlinger, Kyle Maldiner
Hearing Site: New York, NY
09-0466811/03/2010Claimant(s): Anthony Cronin, Dusan Nogulovic
Claimant Lawyers(s): James M. Griffin
Respondent(s): Dresdner Kleinwort Securities LLC
Respondent Lawyers(s): Diana Constantino Gomprecht
Arbitrator(s): Margaret M McQueeney, David S. Billet, Francis J. LaSalla
Hearing Site: New York, NY

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