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FINRA Awards for Alps Distributors.

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0038705/12/2020Claimant(s): Hitesh Mittal
Claimant Lawyers(s): David I. Hantman
Respondent(s): Alps Distributors.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
17-0351103/13/2020Claimant(s): Gregory Zimmerman, Staci Walls
Claimant Lawyers(s): Aaron Israels
Respondent(s): Alps Distributors., Alps Portfolio Solutions Distributor Inc
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Ilene T. Gormly
Hearing Site: Denver, CO

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