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FINRA Awards for Brean Capital

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0021203/24/2016Claimant(s): Newoak Capital LLC, Newoak Capital Markets LLC
Claimant Lawyers(s): Joseph M. Pastore
Respondent(s): Alexander Sellinger, Bryan Nagy, Patrick Mahon, Samuel Warren, Brean Capital
Respondent Lawyers(s): Thomas J. Fleming
Arbitrator(s): Jeffrey F. Friedman, Steven J. Brill, Michele S. Riley
Hearing Site: New York, NY
13-0307606/18/2015Claimant(s): Liv Andersen
Claimant Lawyers(s): Theodore M. Davis
Respondent(s): Fred Ehrman, Brean Capital
Respondent Lawyers(s): Peter M. Sartorius
Arbitrator(s): Ira S. Cure, Richard Bryce Nesson, Robert William McGuigan
Hearing Site: New York, NY
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