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FINRA Awards for George Carlo

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0249105/08/2015Claimant(s): George Carlo, Luis Sepulveda
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Barry Cassese, Charles Carrillo, Louis Ward, Michael Finnan, Paul Metz, K.C. Ward Financial, Morgan Wilshire Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Robert I. Rabinowitz
Arbitrator(s): Mitchell Jay Bayer, John J. Vesey, Howard A. Baker
Hearing Site: New York, NY

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