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FINRA Awards for GunnAllen Financial

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Displaying 10 out of 19 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0277409/23/2024Claimant(s): Andrew Tressler
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): GunnAllen Financial, Continental Broker-Dealer Corp., Trident Partners Ltd.
Respondent Lawyers(s): Deborah Anne Williams, Michael Clements, Nicholas Scavone
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
21-0140104/21/2022Claimant(s): Brian Lombardi
Claimant Lawyers(s): Joshua Bautz
Respondent(s): GunnAllen Financial, Aegis Capital Corp.
Respondent Lawyers(s): Kevin Daniels, Kevin Meade
Arbitrator(s): Marc S. Dobin, Howard Bernstein, Mark A Bilawsky
Hearing Site: Boca Raton, FL
19-0286402/04/2021Claimant(s): Philip Rosensweig
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Morgan Stanley, GunnAllen Financial, Cantella & Co.., Laidlaw & Company (Uk) Ltd.
Respondent Lawyers(s): Charles Smulevitz, Christopher M. Sacco, Deborah Anne Williams, Jay Lanstein
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
19-0067810/11/2019Claimant(s): Michael Gimeli
Claimant Lawyers(s): Irwin Weltz
Respondent(s): GunnAllen Financial, First Cambridge Securities Corporation, First Midwest Securities., Investec Ernst & Company
Respondent Lawyers(s): Deborah Ann Williams, Kelly Sutton, Stanley R. Goldstein, Stephen M. Medow
Arbitrator(s): Cheryl H. Agris
Hearing Site: New York, NY
18-0229805/31/2019Claimant(s): James Raia
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): GunnAllen Financial, J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Jeremy Carr, Soneet R. Kapila
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
18-0293605/22/2019Claimant(s): Nick Son
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): GunnAllen Financial, Aegis Capital Corp., State Capital Markets Corporation
Respondent Lawyers(s): Deborah Anne Williams, Gregg J. Bretibart, John Doukas
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
18-0202901/25/2019Claimant(s): Matthew Turner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): GunnAllen Financial
Respondent Lawyers(s): Soneet R. Kapila
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
18-0180201/22/2019Claimant(s): Anthony Marcello
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): GunnAllen Financial, J.P. Turner & Company
Respondent Lawyers(s): Christina Vourakis, Deborah Anne Williams
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
18-0155601/14/2019Claimant(s): Travis Hudak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): GunnAllen Financial
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Salt Lake City, UT
18-0110901/09/2019Claimant(s): Michael Owen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): GunnAllen Financial
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Salt Lake City, UT

19 Results

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