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FINRA Awards for Carlos Ricca

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Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0343507/01/2014Claimant(s): Lisa Puntillo
Claimant Lawyers(s): Carlos Ricca
Respondent(s): Bradley Tolkin, Ira Theodore, Margaret Tolkin
Respondent Lawyers(s): Brian Brick
Arbitrator(s): Clifford Matthew Olson
Hearing Site: New York, NY
Expungement
10-0337707/01/2013Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Allen Gibson
Respondent Lawyers(s): Carlos Ricca
Arbitrator(s): Barry S. Jacobson
Hearing Site: New York, NY
12-0151908/23/2012Claimant(s): Alec Price
Claimant Lawyers(s): Carlos Ricca
Respondent(s): Lynn Schreiber, Neil Sperling
Respondent Lawyers(s): Kyle Kulzer
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
Expungement
11-0435905/25/2012Claimant(s): Gary Sinderbrand, Steven Sinderbrand
Claimant Lawyers(s): Carlos Ricca
Respondent(s): Maury Hoberman, James & Shirley Feigenbaum, Lawrence J. & Lisa N. Cohen, Robert Brown Trust
Respondent Lawyers(s): Seth Lipner
Arbitrator(s): James S. Hazard
Hearing Site: New York, NY
Expungement
09-0597103/29/2011Claimant(s): Dennis Gravelle
Claimant Lawyers(s): Booker T. Washington
Respondent(s): James Cummings
Respondent Lawyers(s): Carlos Ricca
Arbitrator(s): Ralph L. Halpern
Hearing Site: Buffalo, NY
Checkmark Icon$4,857
09-0348907/12/2010Claimant(s): Alexander Moskin and Claire Moskvin
Claimant Lawyers(s): Stuart D. Meissner
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Carlos Ricca
Arbitrator(s): Walter C. Parrish, S. Charles Tabak, Stanley David Goldman
Hearing Site: Newark, NJ
Checkmark Icon$90,000

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