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FINRA Awards for Bruce K. Isenberg

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Displaying 11-20 out of 42 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0025010/20/2015Claimant(s): Phyllis Kraus, William Kraus, The CPA Revocable Trust D/T/D 12/12/2006
Claimant Lawyers(s): D. Daxton White
Respondent(s): NFP Securities Inc.
Respondent Lawyers(s): Noah Snyder
Arbitrator(s): David P. Slater, Bruce K. Isenberg, Gary R Librizzi
Hearing Site: Boca Raton, FL
Checkmark IconDismissed by Rule 12206
15-0121310/09/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
14-0242705/14/2015Claimant(s): Scott Goodkind
Claimant Lawyers(s): Craig D Stein
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Joseph L. Bernstein, Bruce K. Isenberg, Gustavus L. Pearthree
Hearing Site: Boca Raton, FL
13-0352812/04/2014Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): Ana Maria Ignat
Respondent(s): CMCOLL Investment, LLLP
Respondent Lawyers(s): David Smith
Arbitrator(s): Debra A. Jenks, Jay L. Valinsky, Bruce K. Isenberg
Hearing Site: Boca Raton, FL
Checkmark Icon$0
14-0158210/20/2014Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael Taaffe
Respondent(s): Stephen Ridgely
Respondent Lawyers(s): Stephen Eldridge Ridgely
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
12-0258504/30/2014Claimant(s): Deanna Bresky
Claimant Lawyers(s): George G. Kurschner
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Matthew Wolper
Arbitrator(s): Bruce K. Isenberg, David E. Mowry, Myron E. Levenson
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
13-0159710/10/2013Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
12-0264905/02/2013Claimant(s): Sean Fetterman
Claimant Lawyers(s): Jonathan C Schwartz
Respondent(s): Karin Fowler
Respondent Lawyers(s): Bradford M. Gucciardo
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
Expungement
11-0350712/21/2012Claimant(s): Joan R. Stiles Trust u/a dtd 2/28/1991, William H. Stiles Trust u/a dtd 2/28/91
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): Richard S. Zaifert, Bruce K. Isenberg, Harold S. Stern
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
10-0219811/27/2012Claimant(s): Anita P. Hamburg, Anita P. Hamburg Revocable Living Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Bruce K. Isenberg, Ralph H. Emer, Howard Bernstein
Hearing Site: Boca Raton, FL
Checkmark IconExpungement

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