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FINRA Awards for LLLP

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Displaying 11-13 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0097704/20/2011Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Rachael Rothman, Susquehanna Financial Group, LLLP
Respondent Lawyers(s): Laura E. Krabill
Arbitrator(s): David N. Brainin, Judith Fields Jurney, Judith C. Greene
Hearing Site: New York, NY
07-0359310/23/2008Claimant(s): Thomas Holmes
Claimant Lawyers(s): Kevin Thomas Hoffman
Respondent(s): Susquehanna Financial Group, LLLP
Respondent Lawyers(s): Andrew C. Curley
Arbitrator(s): Philip S. Cottone, Sean M. Sweeney, L. Martin Miller
Hearing Site: Philadelphia, PA
05-0628109/26/2008Claimant(s): Charles Salfity
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Scott Householder, Todd Bergeron, The Householder Group, LLLP
Respondent Lawyers(s): David H. Carmichael, David Carmichael
Arbitrator(s): Robert J. Ruben, A. Joel Klein, James M. Goldberg
Hearing Site: Los Angeles, CA

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