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FINRA Awards for Richard A Karoly

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0301210/21/2011Claimant(s): John Dugan, John Dugan and Karen Dugan JTWROS
Claimant Lawyers(s): Kevin T. Smith
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A Karoly
Arbitrator(s): Lucy J. Karl, Colette Manoil, Jeffrey Neil Fink
Hearing Site: Boston, MA
Checkmark IconExpungement
08-0064109/03/2008Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A Karoly
Respondent(s): Donald Newman, New Man.
Respondent Lawyers(s): Donald E. Newman
Arbitrator(s): Laurel Littman Gothelf, William A. Husa, Dean J. Dietrich
Hearing Site: San Francisco, CA
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