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FINRA Awards for Richard L. Herzfeld

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0339012/30/2022Claimant(s): Thea DePaola
Claimant Lawyers(s): Robert Giacovas
Respondent(s): Peter DePaola, De Paola Trading.
Respondent Lawyers(s): Richard L. Herzfeld
Arbitrator(s): Joan Maxine Secofsky, Joseph J. Arata, Jay F. Frascella
Hearing Site: New York, NY
20-0182110/25/2022Claimant(s): Kirk Katzburg
Claimant Lawyers(s): Richard L. Herzfeld
Respondent(s): Frank Masiello, Thea D'Adamo, Trademas Inc.
Respondent Lawyers(s): George Brunelle, Robert A. Giacovas
Arbitrator(s): Jill Pilgrim, Anna M. Fanelli, Joseph M. Buffone
Hearing Site: New York, NY
15-0131210/23/2017Claimant(s): Navin Barot
Claimant Lawyers(s): Cory Ferraez
Respondent(s): R.F. Lafferty & Co.., Todd Sherman
Respondent Lawyers(s): Richard L. Herzfeld
Arbitrator(s): Gary S. Jefferson, Robert H. Putnam, Eric Spencer Buchanan
Hearing Site: Jackson, MS
Checkmark IconExpungement
15-0003310/02/2015Claimant(s): Antonia Winter
Claimant Lawyers(s): J. Desmond Kramer
Respondent(s): R.F. Lafferty & Co..
Respondent Lawyers(s): Richard L. Herzfeld
Arbitrator(s): Robert Elliot Harrison
Hearing Site: New York, NY
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