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FINRA Awards for William A. Rome

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0047506/03/2022Claimant(s): Boomerang Capital LLC
Claimant Lawyers(s): William A. Rome
Respondent(s): Rhino Investment Partners Inc, Rhino Small Cap Financial Fund LP
Respondent Lawyers(s): Scott E. Zweigel
Arbitrator(s): Julie K. Chapin, John McGrody, Mark Ignatius Salvacion
Hearing Site: Philadelphia, PA
17-0290102/07/2019Claimant(s): Mark Rubin
Claimant Lawyers(s): Pamela A. Hulnick
Respondent(s): Jason Diamond, Drexel Hamilton
Respondent Lawyers(s): William A. Rome
Arbitrator(s): Linda Ashley, Rebecca Ann Berlow, Patricia Kathleen Costello
Hearing Site: New York, NY
08-0105010/22/2010Claimant(s): Jefferies & Company.
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Daniel Cohen, Jonathan Sopher, Cohen Asset Management, Cohen Capital Partners II, Infinity Equities 1 LLC
Respondent Lawyers(s): Pamela L. Klienberg, Robert L. Herskovits, William A. Rome
Arbitrator(s): Bernard A. Kesselman, Hugh N. Fryer, Kip C. Lubcke
Hearing Site: New York, NY
Expungement
06-0515412/27/2007Claimant(s): Devora Tilson, Property Management of Jack Tilson
Claimant Lawyers(s): William A. Rome
Respondent(s): Thomas Kershner, Kennerman Associates.
Respondent Lawyers(s): Timothy J. O'Connor
Arbitrator(s): Robert J. Kheel, Kenneth B. Cutler, John N. Polakas
Hearing Site: New York, NY
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