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FINRA Awards for Harry D. Frisch

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Displaying 7 out of 7 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0290409/11/2014Claimant(s): Morgan Stanley Smith Barney FA Notes Hol, Morgan Stanley Smith Barney LLC
Claimant Lawyers(s): Harry D. Frisch
Respondent(s): Jay Serniak
Respondent Lawyers(s): Jonathan D. Berg
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
12-0186908/05/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Harry D. Frisch
Respondent(s): Keith Sequeira
Respondent Lawyers(s): Keith Patrick Sequeira
Arbitrator(s): Thomas J. Hanrahan, Sam Antar, Bryan David Glass
Hearing Site: Newark, NJ
14-0095706/25/2014Claimant(s): Edward D. Jones & Co., L.P.
Claimant Lawyers(s): Harry D. Frisch
Respondent(s): Danny Lugar
Respondent Lawyers(s): W. David Paxton
Arbitrator(s): Stuart H. Dunn, Arthur J. Salzberg, Ramon M. Brinkman
Hearing Site: Richmond, VA
12-0182203/19/2014Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Harry D. Frisch
Respondent(s): Kevin Saia
Respondent Lawyers(s): Kevin Saia
Arbitrator(s): Kenneth J. Horowitz, Gerald Joseph Coughlin, Jonathan Christian Byron
Hearing Site: Newark, NJ
12-0208511/22/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Harry D. Frisch
Respondent(s): Guilherme Kuchkarian
Respondent Lawyers(s): A. Rene Hollyer
Arbitrator(s): Daniel Robbins, Keith Eric Bettencourt, Peter Susser
Hearing Site: New York, NY
12-0312811/22/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Harry D. Frisch
Respondent(s): Richard Going
Respondent Lawyers(s): Richard L. Going
Arbitrator(s): Sam Antar
Hearing Site: Newark, NJ
07-0005211/14/2007Claimant(s): Gordon C. and Patricia Hurlbert JT TEN
Claimant Lawyers(s): David R. Volpe
Respondent(s): Advest., Richard Sarachman
Respondent Lawyers(s): Harry D. Frisch
Arbitrator(s): William R. Gruver, Thomas R. Skulina, Albert Joseph Boucek
Hearing Site: Pittsburgh, PA
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