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FINRA Awards for Investors Capital Corp.

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Displaying 10 out of 38 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0179508/28/2024Claimant(s): Michael Kuczinski
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): OSAIC Wealth, Investors Capital Corp.
Respondent Lawyers(s): David Feldstein, Jennifer R. Cox
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
23-0298807/26/2024Claimant(s): Travis Hughes
Claimant Lawyers(s): Eric A. Michaels
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Jay H. Feldstein
Hearing Site: Albuquerque, NM
23-0290005/14/2024Claimant(s): James Crosson
Claimant Lawyers(s): William Bean
Respondent(s): LPL Financial LLC, Investors Capital Corp., Voya Financial Advisors.
Respondent Lawyers(s): Brian J. Palmeri, David Feldstein, Kelsey L. Vasko
Arbitrator(s): Sean Alan D'Amico
Hearing Site: Providence, RI
23-0090101/11/2024Claimant(s): Travis Hughes
Claimant Lawyers(s): Eric A. Michaels
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Roger A. Geddes
Hearing Site: Albuquerque, NM
22-0166503/16/2023Claimant(s): Henry Gallardo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Investors Capital Corp., Securian Financial Services.
Respondent Lawyers(s): David Feldstein, Lisa Stopfer
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Albuquerque, NM
21-0277308/26/2022Claimant(s): Roberto Blanco
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC, Investors Capital Corp.
Respondent Lawyers(s): Christopher J. Murdoch, David Feldstein
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Albuquerque, NM
21-0138906/17/2022Claimant(s): Nicholas Agnone
Claimant Lawyers(s): Louis Tambaro
Respondent(s): Royal Alliance Associates., Investors Capital Corp.
Respondent Lawyers(s): David Feldstein, James V. Noblett
Arbitrator(s): Sam Antar, Paul M. Friedman, Evan Powell
Hearing Site: New York, NY
21-0202701/27/2022Claimant(s): Paul DiPietro
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
18-0011811/05/2021Claimant(s): Amy Hourigan, Glenn Hourigan, IRA FBO Amy R. Hourigan, IRA FBO Glenn K. Hourigan
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Robert Ginsberg, Cetera Advisors LLC, Investors Capital Corp., Ginsberg Financial Advising
Respondent Lawyers(s): Brian J. Palmeri, Kate Digeronimo
Arbitrator(s): Mae A. Brudner, Eileen Devaney Leo, Charles W. Danis
Hearing Site: Hartford, CT
Checkmark IconStipulated Award
20-0280107/13/2021Claimant(s): Andrew Fairchild
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL

38 Results

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