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FINRA Awards for Michele S. Riley

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Displaying 31-40 out of 41 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0088111/05/2014Claimant(s): Thomas Ferrara
Claimant Lawyers(s): Kathy M. Klock
Respondent(s): Park Avenue Securities LLC
Respondent Lawyers(s): Gordon F. Wylie
Arbitrator(s): Madelon M. Rosenfeld, Mitchell Jay Bayer, Michele S. Riley
Hearing Site: New York, NY
13-0185710/22/2014Claimant(s): Drew Doscher
Claimant Lawyers(s): A. Todd Merolla
Respondent(s): Michael Meagher, Michael Meyer, Stephen Smith, Armory Advisors, Armory Fund, LLP, Sea Port Group Securities, The Seaport Group, Seaport V
Respondent Lawyers(s): Ronald G. Blum
Arbitrator(s): Kevin B. Naughten, Michele S. Riley, Robert Francis Littlejohn
Hearing Site: New York, NY
13-0227706/23/2014Claimant(s): Donald Wojnowski, John Tarpinian, Robert Ainbinder
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Bruce Meyers, Meyers Associates, L.P.
Respondent Lawyers(s): David A. Schrader
Arbitrator(s): Hugh N. Fryer, Nino Armienti, Michele S. Riley
Hearing Site: New York, NY
14-0023406/16/2014Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): David Levenstein
Respondent Lawyers(s): David Joseph Levenstein
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
11-0435312/02/2013Claimant(s): Tullett Prebon Financial Services LLC
Claimant Lawyers(s): Jonathan Stoler
Respondent(s): Matthew Brust
Respondent Lawyers(s): Jordan D. Becker
Arbitrator(s): Henry Tiffany, Keith Roberts, Michele S. Riley
Hearing Site: New York, NY
11-0435606/05/2013Claimant(s): Neil Novikoff
Claimant Lawyers(s): Joseph E. Gasperetti
Respondent(s): Joseph Centra, Richard Ganz, Allocation Resource Group, H. Beck.
Respondent Lawyers(s): Elizabeth A. Schmid
Arbitrator(s): Ira S. Cure, Mary P. Bass, Michele S. Riley
Hearing Site: New York, NY
Checkmark Icon$0
11-0170108/15/2012Claimant(s): Albert Lazarus
Claimant Lawyers(s): Arthur P Fisch
Respondent(s): Eric Diton, UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Kinchen C. Bizzell, Keely D. Parr, Michele S. Riley
Hearing Site: New York, NY
Checkmark Icon$0
10-0199412/30/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Michael Zenick
Respondent Lawyers(s): Michael David Schimek
Arbitrator(s): Gilbert F. Bach, Barry S. Jacobson, Michele S. Riley
Hearing Site: New York, NY
09-0445412/23/2010Claimant(s): Collins Capital LLC
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Jeffrey Samsen, J.P. Morgan Securities, Bear Stearns Asset Backed Securities Fun, Bear Stearns Asset Management Inc., Bear Stearns Securities Clearing Corp, Bear, Stearns & Co.., J.P. Morgan Chase & Co., J.P. Morgan Clearing Corp., The Bear Stearns Companies.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Alan S. Braunshweiger, Daniel Robbins, Michele S. Riley
Hearing Site: New York, NY
Checkmark IconExpungement
09-0452910/06/2010Claimant(s): Lazard Asset Management LLC, Lazard Asset Management Securities LLC
Claimant Lawyers(s): Jason C. Rubinstein
Respondent(s): Kris Haber
Respondent Lawyers(s): Alan R. Friedman
Arbitrator(s): Donald J. Zoeller, John B. Myers, Michele S. Riley
Hearing Site: New York, NY

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