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FINRA Awards for BNY Mellon Capital Markets

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0028707/09/2015Claimant(s): Guy Gregoire
Claimant Lawyers(s): David A. Gehn
Respondent(s): Pershing LLC, BNY Mellon Capital Markets
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Thomas Caiaffa, Martin A. Edelstein, Keely D. Parr
Hearing Site: New York, NY
11-0207510/09/2012Claimant(s): Leprino Foods Company
Claimant Lawyers(s): Michael G. Martin
Respondent(s): BNY Mellon Capital Markets
Respondent Lawyers(s): Todd E. Gordinier
Arbitrator(s): Samuel E. Wing, Melissa Dawn Hubbard, Robert M. Fusfeld
Hearing Site: Denver, CO
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10-0236306/14/2011Claimant(s): Christine O'Leary, Edward Harmon, Orrin Lebrew
Claimant Lawyers(s): Vicki Kuftic Horne
Respondent(s): BNY Mellon Capital Markets
Respondent Lawyers(s): Catherine S. Ryan
Arbitrator(s): Roger W. Van Deusen, Timothy Shay Davis, Charles B. Jarrett
Hearing Site: Pittsburgh, PA

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