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FINRA Awards for CLSA Americas

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0063301/14/2022Claimant(s): Michael Mayo
Claimant Lawyers(s): Steven G. Eckhaus
Respondent(s): CLSA Americas
Respondent Lawyers(s): Barbara M. Roth
Arbitrator(s): Ernesto V. Luzzatto, Ellyn S. Roth, Jason Scott Eveleth
Hearing Site: New York, NY
17-0278701/15/2019Claimant(s): David Lipschitz
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): CLSA Americas
Respondent Lawyers(s): Barbara M. Roth
Arbitrator(s): Joseph N. Stineman, Edward W. Morris, Susan Romano
Hearing Site: New York, NY

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