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FINRA Awards for William I. Carmen

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Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0385305/24/2013Claimant(s): Estate of Marjorie Christian
Claimant Lawyers(s): Howard Christian
Respondent(s): Angelo Anello, Brian Lannigan, Christopher Foley, Merrill Lynch Pierce Fenner & Smith Inc., Patrick Sands, Tracy Maynor
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Mary C. Kelleher, June Y. Kilmarx, William I. Carmen
Hearing Site: Boston, MA
Checkmark Icon$0
11-0302004/10/2013Claimant(s): Alaa Elhamrawy
Claimant Lawyers(s): Alaa Elhamrawy
Respondent(s): Optionsxpress., USAA Investment Management Company
Respondent Lawyers(s): Anthony L. Valenzuela, Theodore C. Schultz
Arbitrator(s): William I. Carmen, Jeffrey L. Frankel, Frank Sanclemente
Hearing Site: Boston, MA
Checkmark Icon$0
11-0059510/05/2012Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill Clarke
Respondent(s): Hilary O'Malley, Kevin O'Malley
Respondent Lawyers(s): Hilary Elizabeth O'Malley, Kevin James O'Malley
Arbitrator(s): Dallas Whitney Coffman, Tom L. Peterson, William I. Carmen
Hearing Site: Boston, MA
10-0537111/09/2011Claimant(s): Judith Schmitt
Claimant Lawyers(s): Christopher McHallam
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Christopher P. Litterio
Arbitrator(s): Arthur J. Giacomarra, William I. Carmen, Susan Largay
Hearing Site: Boston, MA
Checkmark Icon$0
09-0578610/13/2011Claimant(s): Harley Kaplan, Beta Industries.
Claimant Lawyers(s): Chesley Oriel
Respondent(s): Timothy Shanahan, Compass Capital Corporation, Compass Securities Corporation
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Joan Stearns Johnsen, William I. Carmen, Zenon Charles Tencza
Hearing Site: Boston, MA
06-0330503/14/2008Claimant(s): Barbara Drucker, William Drucker, William R. Drucker IRA
Claimant Lawyers(s): Joshua N. Cook
Respondent(s): Charlene Marant, Elizabeth Ferreira, EM Financial Solutions, Marant Enterprises Holdings LLC, Pershing Advisor Solutions
Respondent Lawyers(s): Charlene Marant, Christina Davilas, Compliance Officer, Elizabeth Ferreira
Arbitrator(s): Robert Titus, William I. Carmen, Stephen Z. Frank
Hearing Site: Boston, MA
Checkmark IconSettlement

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