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FINRA Awards for Rick Rutman

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Case Number Award Date Case Summary Customer Case? Amount Granted
22-0205805/24/2023Claimant(s): Rodrigo Jolig
Claimant Lawyers(s): Ethan Andrew Brecher
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Keely D. Parr, Kellisia Hazlewood, Rick Rutman
Hearing Site: New York, NY
21-0153405/18/2023Claimant(s): Raymond Potter
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Leslie Ruth Nydick, Thomas M. Madden, Rick Rutman
Hearing Site: New York, NY
19-0080311/16/2021Claimant(s): Adam Kaplan, Daniel Kaplan
Claimant Lawyers(s): John D. Singer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Andrew M. Schmertz, Ann Judith Gellis, Rick Rutman
Hearing Site: New York, NY

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