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FINRA Awards for Michael A. Orticelle

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0155502/09/2024Claimant(s): The Amvona Fund
Claimant Lawyers(s): Ian J. McLoughlin
Respondent(s): Christopher Pento, Joseph Vencil, Clear Street
Respondent Lawyers(s): Gayle R. Klein
Arbitrator(s): James E. Kleinbaum, Catherine Stewart, Michael A. Orticelle
Hearing Site: Albany, NY
Checkmark Icon$0
23-0016209/07/2023Claimant(s): Joseph Ferron
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): FFP Securities., Veravest Investments.
Respondent Lawyers(s): Donna Lawson, Mark H. Stepakoff
Arbitrator(s): Lewis S. Kurlantzick, Michael A. Orticelle, John Thomas Shaban
Hearing Site: Hartford, CT
21-0138405/10/2023Claimant(s): Joseph Caldwell
Claimant Lawyers(s): Joseph D. Caldwell
Respondent(s): Anjani Prabhu, Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Michael A. Orticelle
Hearing Site: Syracuse, NY
Checkmark IconExpungement
20-0209304/18/2023Claimant(s): Jeremy Seidman, Jose Rodriguez-Villalobos, Mitchell Riesenberger, Simon Clarke
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): David S. Pegno
Arbitrator(s): Michael A. Orticelle, John R. Snyder, Merriann Panarella
Hearing Site: Boston, MA
20-0217711/30/2021Claimant(s): Kim Reynolds
Claimant Lawyers(s): Kim Reynolds
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): William A. Barrett, William Norton, Michael A. Orticelle
Hearing Site: Augusta, ME
Checkmark Icon$0
17-0215210/17/2018Claimant(s): Antonia Barone
Claimant Lawyers(s): Joanne A Schultz
Respondent(s): James Haskins, Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Michael A. Orticelle, Steven C. Kempisty, L. Paul Kehoe
Hearing Site: Buffalo, NY
Checkmark Icon$0
10-0436105/25/2012Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Holdings, LL
Claimant Lawyers(s): Joe Gehring
Respondent(s): Wells Fargo Advisors, Douglas Carnahan, Lawrence King, Sandra Butler
Respondent Lawyers(s): James E. Heavey, Joe Gehring, Scott C. Paton
Arbitrator(s): Edward Baer, Roland M. Cavalier, Michael A. Orticelle
Hearing Site: Albany, NY
10-0549202/29/2012Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): David Mikula, Morgan Stanley
Respondent Lawyers(s): James L. Sonneborn, Phillip J. Campisi
Arbitrator(s): Suzanne E. Reynolds-Brady, Robert S. Getman, Michael A. Orticelle
Hearing Site: Albany, NY

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