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FINRA Awards for General Counsel

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0009811/16/2012Claimant(s): VCG Securities
Claimant Lawyers(s): Robert H. Fasulo, General Counsel
Respondent(s): Viewpoint Securities
Respondent Lawyers(s): Seth Leyton, Managing Member
Arbitrator(s): Marc S. Piven, Alexander I. Heckman, Dale H. Van Scoyk
Hearing Site: Boca Raton, FL
06-0431612/12/2007Claimant(s): Yan Zhao, Amicorp Development, Ltd., Essence City, Ltd, Precise Power Holdings
Claimant Lawyers(s): General Counsel, Yan Hong Zhao
Respondent(s): Capital Growth Financial
Respondent Lawyers(s): Jason Gordon
Arbitrator(s): Marc Scott Shapiro, Ted Romanos, Martin M. Van Luven
Hearing Site: Boca Raton, FL
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