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FINRA Awards for Christopher J. Klein

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Displaying 41-50 out of 62 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0430507/27/2021Claimant(s): Acacia Noguera, Emporio Blue LTD
Claimant Lawyers(s): Acacia Noguera
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Sameer Rastogi
Arbitrator(s): Christopher J. Klein, Richard Carl Smukler, Michael Greene
Hearing Site: Miami, FL
Checkmark Icon$0
20-0185602/18/2021Claimant(s): RICARDO EBOLI-KODESH
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
19-0052212/22/2020Claimant(s): Gerald S. Backman 2007 Revocable Trust,
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Gary M. Landau, Christopher J. Klein, Stephanie Jeannette Charny
Hearing Site: Boca Raton, FL
Checkmark Icon$90,050
20-0093809/03/2020Claimant(s): Jeffrey Petrone
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): MMC Securities LLC
Respondent Lawyers(s): Francesca M. Lanpher
Arbitrator(s): Christopher J. Klein
Hearing Site: Boca Raton, FL
18-0180508/27/2020Claimant(s): Atlantic Vue Towers., E.A.R.E. Corp., Coral Gables Trust Company
Claimant Lawyers(s): Kenneth Catanzarite
Respondent(s): Cindy Briggs, David Bernstein, Donald Gunn, Frederick Kraus, Richard Frueh, Richard Nummi
Respondent Lawyers(s): Burton W. Wiand, Cindy Susan Briggs, David H. Jarvis, David John Bernstein, Frederick Oscar Kraus, Richard Mark Nummi
Arbitrator(s): John Richard Lynch, Will Murphy, Christopher J. Klein
Hearing Site: Miami, FL
Checkmark Icon$0
20-0022607/20/2020Claimant(s): Ricardo Eboli-Kodesh
Claimant Lawyers(s): Sonia M. Lopez-Del Valle
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
19-0300902/14/2020Claimant(s): Ricardo Eboli-Kodesh
Claimant Lawyers(s): Linette Figueroa Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sonia M. Lopez del Valle
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
19-0084910/15/2019Claimant(s): Casto Colldelrio
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto Quinones Rivera
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
18-0386706/07/2019Claimant(s): Beverly Assmar, Richard Assmar, Beverly Assmar Selectrust U/A 12/18/2012, Richard Assmar Selectrust U/A 12/18/2012
Claimant Lawyers(s): Mark S. Simms
Respondent(s): Comerica Securities.
Respondent Lawyers(s): Todd A. Holleman
Arbitrator(s): Elena G. Rodriguez, Christopher J. Klein, Peter A. Roche
Hearing Site: Miami, FL
Checkmark IconDismissed by Rule 12206/12504
18-0277201/02/2019Claimant(s): Max Teppich & Adriane Carvalho De Lima
Claimant Lawyers(s): Max Teppich
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
Checkmark Icon$0

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