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FINRA Awards for CIBC World Markets Corp.

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Displaying 21-30 out of 40 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0414106/02/2010Claimant(s): Andrew Kaye
Claimant Lawyers(s): Michael Grenert
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Michelle Jacobowitz Gallagher, Steven A. Infante, Betty Chen
Hearing Site: New York, NY
09-0574703/11/2010Claimant(s): CIBC World Markets Corp.
Claimant Lawyers(s): Joseph J Sullivan
Respondent(s): Juan Bermudez
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
08-0248602/03/2010Claimant(s): Clifford D. Spikes and Nancy P. Spikes
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Elizabeth Rose Aylett
Arbitrator(s): David P. McDuffee, Patricia Ann Tracey, Frank H. Livingston
Hearing Site: Raleigh, NC
Checkmark Icon$300
08-0032504/06/2009Claimant(s): Hyung Kim
Claimant Lawyers(s): David Marek
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Martin Hunger, Brian S. Hamburger, Lawrence B. Schiffman
Hearing Site: New York, NY
08-0016003/26/2009Claimant(s): Michael Doran
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Ralph L. Halpern, David L. Hoffberg, Alan Kenneth Scheff
Hearing Site: Buffalo, NY
Checkmark IconStipulated Award
07-0357201/30/2009Claimant(s): CIBC World Markets Corp.
Claimant Lawyers(s): Joseph J. Sullivan
Respondent(s): Robert Lynn
Respondent Lawyers(s): Gilbert W. Boyce
Arbitrator(s): Wendie L. Wachtel, Maurice R. Dunie, Emily Eiselman Hunter
Hearing Site: Washington, DC
06-0425212/15/2008Claimant(s): Michael Cohen
Claimant Lawyers(s): Jeffrey L. Cox
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Joseph J. Sullivan
Arbitrator(s): Guy K. Stewart, Martin A. Feigenbaum, Bernice Leah Stander
Hearing Site: Boca Raton, FL
04-0313411/17/2008Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): CIBC World Markets Corp., Sami Daher
Respondent Lawyers(s): Joseph J. Sullivan, Sami N. Daher
Arbitrator(s): Steven Samson, John E. Sundeen, A. Brad Busscher
Hearing Site: Chicago, IL
05-0282711/17/2008Claimant(s): CIBC World Markets Corp.
Claimant Lawyers(s): Matthew L. Mustokoff
Respondent(s): Michael Sassano
Respondent Lawyers(s): Mitchell S. Cohen
Arbitrator(s): Jerome H. Levy, Alice J. P. Lee-Getman, Allen H. Green
Hearing Site: New York, NY
07-0079909/05/2008Claimant(s): Arie Aloni, Hava Aloni
Claimant Lawyers(s): Darren C. Blum
Respondent(s): Arthur Lewis, CIBC World Markets Corp., Jeff Bank, Susan Sutherland
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): Alexander I. Heckman, Steven Gerard Goerke, Elaine Feldman
Hearing Site: Boca Raton, FL
Checkmark IconStipulated Award and Expungement

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