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FINRA Awards for Richard E. Brodsky

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Case Number Award Date Case Summary Customer Case? Amount Granted
22-0091008/16/2022Claimant(s): IFS Liquidation Trust
Claimant Lawyers(s): Richard E. Brodsky
Respondent(s): Keith Wakefield
Respondent Lawyers(s): Keith Wakefield
Arbitrator(s): James F. Carlson
Hearing Site: Chicago, IL
19-0109702/13/2020Claimant(s): Thomas Howes
Claimant Lawyers(s): Thomas W. Howes
Respondent(s): Alexys Mckenzie, Janet Bentley-Ewers, Joquinn Sadler, Raymond, James & Associates., IFS Securities
Respondent Lawyers(s): Brandy N. Pikus, Richard E. Brodsky
Arbitrator(s): Steven R. Bralove, Joyce A. Mitchell, Barbara Hill Bink
Hearing Site: Washington, DC
Checkmark IconDismissed by Rule 12206/12504
11-0026902/02/2012Claimant(s): Alan Begun, Rhonda Begun
Claimant Lawyers(s): David Liebrader
Respondent(s): Armen Karapetyan, Basis Financial
Respondent Lawyers(s): Richard E. Brodsky
Arbitrator(s): Bruce R. Heurlin
Hearing Site: Las Vegas, NV
Checkmark Icon$62,034

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