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FINRA Awards for Denis C. Dice

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Displaying 11-12 out of 12 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0042910/29/2010Claimant(s): Estate of Steven Harris
Claimant Lawyers(s): Michael J. Sullivan
Respondent(s): J. B. Hanauer & Co., RBC Capital Markets LLC
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Edith M. Novack, Douglas S. Abel, Roland E. Wyatt
Hearing Site: Newark, NJ
07-0326809/12/2008Claimant(s): Scott Champion
Claimant Lawyers(s): Steven T. Stern
Respondent(s): Securities America.
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Rafael A. Porrata-Doria
Hearing Site: Philadelphia, PA

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