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FINRA Awards for Patrick Gaffney

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0165910/15/2021Claimant(s): Neil Krauter, The Krauter Group
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Lawrence S. Silver, Steven E. Eisenberg, Kimberlee Ann Fowler
Hearing Site: Boca Raton, FL
Checkmark Icon$0
11-0288309/16/2014Claimant(s): Sarah Yarmak
Claimant Lawyers(s): Jeffrey Yarmak
Respondent(s): Neville Golvala, Ronald Buckner, Choicetrade, Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet, Patrick Gaffney
Arbitrator(s): Alida D. Camp, Robert Bartels, Paul S. Biederman
Hearing Site: New York, NY
Checkmark Icon$0
12-0346911/07/2013Claimant(s): Leslie Stein
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
Checkmark Icon$600
12-0413408/12/2013Claimant(s): Gisela Gresitza
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): Richard DiTaranto, SII Investments.
Respondent Lawyers(s): Michael R. Gaico
Arbitrator(s): S. Charles Tabak
Hearing Site: Newark, NJ
Checkmark Icon$10,300
10-0441004/11/2012Claimant(s): Alice Jones, Gay Jones, Graham Jones, Graham Jones Familiy Trust f/b/o, Graham Jones Family Trust f/b/o, Graham O. Jones Charitable Remainder Tst
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): Carl Bronstein, Harry Friedman, Prestige Financial Center., Sloan Securities Corp.
Respondent Lawyers(s): E. Gina Chase, Harry Friedman, Larry Kirshbaum, Paul A. Lieberman
Arbitrator(s): S. Charles Tabak, Brian Anthony Simmons, David Lu
Hearing Site: Newark, NJ
Checkmark Icon$4,140,200
11-0072403/08/2012Claimant(s): Alfred Hoffman
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Oliver J. Janney, Karl A. Vogeler, James Howell Garrison
Hearing Site: Tampa, FL
Checkmark Icon$0
10-0337810/18/2011Claimant(s): Estate of Deborah L. Stein
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Brady J. Hermann
Arbitrator(s): Brian J. Dunn, David J. Kaufman, James Alden Lincoln
Hearing Site: Boston, MA
Checkmark Icon$0
07-0347410/20/2008Claimant(s): Alan Lehman
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): Howard Corum, Chicago Investment Group
Respondent Lawyers(s): Elizabeth Neugent Dixon
Arbitrator(s): Judith E. Gross, Clarence Smith, Cheryl H. Agris
Hearing Site: New York, NY
Checkmark Icon$155,000

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