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FINRA Awards for Richard W. Vallario

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Displaying 31-33 out of 33 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0264202/08/2012Claimant(s): John Buckmaster
Claimant Lawyers(s): James G. Marsh
Respondent(s): Chicago Investment Group
Respondent Lawyers(s): Richard P. Lynch
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY
09-0134303/03/2011Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Christopher G. Massey
Respondent(s): Leslie Buch
Respondent Lawyers(s): Leslie Neal Buch
Arbitrator(s): Richard W. Vallario, Susan C. Lushing, Andrew H. Freund
Hearing Site: New York, NY
07-0184811/06/2007Claimant(s): Ronald Baum
Claimant Lawyers(s): Ronald Baum
Respondent(s): TD Waterhouse d/b/a TD Ameritrade
Respondent Lawyers(s): Janis Campanella
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY

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