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FINRA Awards for Quad Capital

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0225603/01/2018Claimant(s): Rochdale Securities LLC
Claimant Lawyers(s): Aaron A. Romney
Respondent(s): Carl Acebes, Daniel Crowley, Hal Tunick, Harlan Sender, Kristen Talgo, Quad Capital
Respondent Lawyers(s): Aaron A. Romney, Michael A. Kleinman, Paul W. Ryan
Arbitrator(s): Leonard M. Bakal, Gregory J. Getz, Phillip Weitzman
Hearing Site: New York, NY
16-0011211/08/2016Claimant(s): Quad Capital Management, Quad Capital
Claimant Lawyers(s): Joseph M. Pastore
Respondent(s): Joseph Monte
Respondent Lawyers(s): Seth T. Taube
Arbitrator(s): James D. Yellen, Robert Bartels
Hearing Site: New York, NY

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