Potomac Analytics' Logo

FINRA Awards for Sheri J. Caplan

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 3 out of 3 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0306409/14/2018Claimant(s): Vincent Farricielli
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Caeron McClintock, Edward Daigneau, John Parmigiani, Robert Costomiris, Allied Millennial Partners, EJ Sterling LLC
Respondent Lawyers(s): Caeron Arlington McClintock, Martin Unger
Arbitrator(s): Robert E. Anderson, Sheri J. Caplan, Robert M. Singer
Hearing Site: Hartford, CT
Checkmark Icon$30,000
10-0342103/21/2012Claimant(s): John Koren
Claimant Lawyers(s): David Valicenti
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Barry Quint, Kenneth Dymond, Sheri J. Caplan
Hearing Site: Hartford, CT
Checkmark Icon$0
07-0192804/14/2008Claimant(s): Edward A. Sandor, IRA, Rita D. Sandor
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela Turiano
Arbitrator(s): Diane Getzler, Terrence H. Fraser, Sheri J. Caplan
Hearing Site: Hartford, CT
Checkmark Icon$0

3 Results

Display: