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FINRA Awards for Kevin B. Naughten

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Displaying 9 out of 9 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0100512/12/2017Claimant(s): Jollene Austin
Claimant Lawyers(s): Christina Giorgio
Respondent(s): John Tarpinian
Respondent Lawyers(s): Gregory S. Sparer
Arbitrator(s): Susan C. Lushing, David S. Billet, Kevin B. Naughten
Hearing Site: New York, NY
15-0031602/11/2016Claimant(s): Gopal Tampi
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): Nomura Securities International.
Respondent Lawyers(s): Nancy Prahofer
Arbitrator(s): David S. Billet, Aubrey Lees, Kevin B. Naughten
Hearing Site: New York, NY
13-0185710/22/2014Claimant(s): Drew Doscher
Claimant Lawyers(s): A. Todd Merolla
Respondent(s): Michael Meagher, Michael Meyer, Stephen Smith, Armory Advisors, Armory Fund, LLP, Sea Port Group Securities, The Seaport Group, Seaport V
Respondent Lawyers(s): Ronald G. Blum
Arbitrator(s): Kevin B. Naughten, Michele S. Riley, Robert Francis Littlejohn
Hearing Site: New York, NY
10-0101111/14/2011Claimant(s): Alyssa DiRienzo, Amara DiRienzo, Cynthia Pilot, Deborah Holstein, Deborah Lutz, Frederick DiRienzo, Johanna C. & Frederick H. DiRienzo, The 1992 Irrevocable Trust for the Benef
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Colin Cookson, Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., National Financial Services LLC
Respondent Lawyers(s): Mark S. Cohen, Michael G. Shannon, Nicki Samson
Arbitrator(s): Evonne W.J. Tolbert, Alun Hywel Jones, Kevin B. Naughten
Hearing Site: New York, NY
Checkmark Icon$0
09-0106701/06/2011Claimant(s): David Sacco
Claimant Lawyers(s): Jeffery L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Patrick W. Shea
Arbitrator(s): Brian J. Burstin, Kevin B. Naughten, Robert Bartels
Hearing Site: New York, NY
09-0603909/08/2010Claimant(s): Kevin Grier
Claimant Lawyers(s): David B. Wechsler
Respondent(s): Keybanc Capital Markets Inc.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Michael H. DuBoff, Carol E. Weir, Kevin B. Naughten
Hearing Site: New York, NY
09-0086109/01/2009Claimant(s): Helen Howard
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Wells Fargo Investments, David Logsdon
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): William G. Binckes, Carol E. Weir, Kevin B. Naughten
Hearing Site: New York, NY
Checkmark IconExpungement
06-0326008/19/2008Claimant(s): Wachovia Securities
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Haran Brucker
Respondent Lawyers(s): Jenice L. Malecki
Arbitrator(s): Arthur T. Jacobs, Kevin B. Naughten, Joan Ilivicky
Hearing Site: New York, NY
07-0262004/08/2008Claimant(s): Todd Greenbaum
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Hapoalim Securities USA.
Respondent Lawyers(s): Ian M. Kirschner
Arbitrator(s): Ernest Fanwick, Joseph F. Kelley, Kevin B. Naughten
Hearing Site: New York, NY

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