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FINRA Awards for Imperial Capital

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0023603/20/2018Claimant(s): Mark Eshman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Imperial Capital
Respondent Lawyers(s): Bentley P. Stansbury
Arbitrator(s): Nina Vallion
Hearing Site: Boise, ID
17-0039903/16/2018Claimant(s): Taylor Joseph
Claimant Lawyers(s): James W Halter
Respondent(s): Imperial Capital
Respondent Lawyers(s): Bentley P. Stansbury
Arbitrator(s): Michele S. Riley, Veronica Ann Williams, Cirino M. Bruno
Hearing Site: New York, NY
11-0189108/07/2012Claimant(s): Deephaven Distressed Opportunities, Deephaven Event Trading, Ltd, MA Deep Event
Claimant Lawyers(s): Don Abraham
Respondent(s): Imperial Capital
Respondent Lawyers(s): Jeffrey R. Wang
Arbitrator(s): Stuart Rothenstein, Leona Beane, Nancy Kramer
Hearing Site: New York, NY
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