FINRA Awards for Carol H. Gold

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Displaying 21-25 out of 25 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-00896	06/26/2013	Claimant(s): Leonard Nole Claimant Lawyers(s): Steven H. Doto Respondent(s): Citigroup Global Markets., John Graff, Scott Whalen Respondent Lawyers(s): Lawrence G. Barbot Arbitrator(s): Robert F. Sanville, Alan J. Blocher, Carol H. Gold Hearing Site: Philadelphia, PA		Expungement
10-03969	04/10/2013	Claimant(s): Skip Massengill Claimant Lawyers(s): George Bochetto Respondent(s): Commerce Capital Markets., TD Wealth Management Services Inc. Respondent Lawyers(s): Risa B. Boerner Arbitrator(s): Carol H. Gold, E. William Pastor, Timothy J. Tarpey Hearing Site: Philadelphia, PA
11-00219	02/20/2013	Claimant(s): Michael Gallagher and Mary Gallagher Claimant Lawyers(s): Brian Kennedy Respondent(s): Morgan Stanley Respondent Lawyers(s): Tom Briody Arbitrator(s): Carol H. Gold, Edward F. Koren, Rochelle K. Kaplan Hearing Site: Philadelphia, PA		Expungement
11-02038	07/27/2012	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Claimant Lawyers(s): Kate S. Arduini Respondent(s): Scott Hartshorn Respondent Lawyers(s): David F. McComb Arbitrator(s): Carol H. Gold, Faye Riva Cohen, Timothy J. Tarpey Hearing Site: Philadelphia, PA
08-00145	10/29/2008	Claimant(s): PNC Investments Inc. Claimant Lawyers(s): Elizabeth M. Hill Respondent(s): Andrea Sawchuk Respondent Lawyers(s): Brian K. Wiley Arbitrator(s): Alan M. Schankel, Carol H. Gold, Fred W. Miller Hearing Site: Philadelphia, PA