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FINRA Awards for Charles A. Goglia

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0370503/28/2013Claimant(s): Edward Jones
Claimant Lawyers(s): James R. Dyer
Respondent(s): Barbara Cantwell
Respondent Lawyers(s): Charles Kindregan
Arbitrator(s): June Y. Kilmarx, Charles A. Goglia, Richard D. Levin
Hearing Site: Boston, MA
08-0073302/05/2009Claimant(s): Wachovia Securities
Claimant Lawyers(s): David Ward
Respondent(s): Timothy McNamara
Respondent Lawyers(s): Roger S. Davis
Arbitrator(s): Sandor I. Rabkin, Dennis M. Cronin, Charles A. Goglia
Hearing Site: Boston, MA
07-0162209/20/2007Claimant(s): IFMG Securities., IFS AGencies., Independent Financial Marketing Group
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): Michael Woodman
Respondent Lawyers(s): Gary C. Crossen
Arbitrator(s): Charles A. Goglia, Robert V. Deiana, Laura M. Nelson
Hearing Site: Boston, MA

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