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FINRA Awards for Hartford, CT

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Displaying 21-30 out of 251 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0046704/13/2023Claimant(s): Donald Cariati, Carmine Cariati Rev Trust Feb 16, 2017
Claimant Lawyers(s): Richard Slavin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): Edward W. Morris, Christopher Meisenkothen, Jud Perkins
Hearing Site: Hartford, CT
Checkmark Icon$0
22-0248703/21/2023Claimant(s): Estate of Richard W. Shettle
Claimant Lawyers(s): Greg Shettle
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): William A. Barrett
Hearing Site: Hartford, CT
Checkmark Icon$19,167
22-0002502/24/2023Claimant(s): Kevin Carroll
Claimant Lawyers(s): Kevin Joseph Carroll
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): John J. Mager, Robert M. Singer, Karen Kim
Hearing Site: Hartford, CT
22-0016501/25/2023Claimant(s): Jeffrey Davis
Claimant Lawyers(s): Avionam Rosenfeld
Respondent(s): Kovack Securities Inc, Harvest Capital LLC
Respondent Lawyers(s): Amy Towle, Ralph Giansanti
Arbitrator(s): Dale S. Cronnell, Steven R. Rolnick, Andrea Joan Harman
Hearing Site: Hartford, CT
18-0415601/11/2023Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Joshua Horn
Respondent(s): Stephen Pendergast
Respondent Lawyers(s): David R. Clouston
Arbitrator(s): Steven R. Rolnick, Catherine Stewart, Cynthia Catherine Anger
Hearing Site: Hartford, CT
20-0088512/28/2022Claimant(s): Jason Goodhue
Claimant Lawyers(s): Michael T. McCormack
Respondent(s): Christopher Berris, Buell Securities Corp.
Respondent Lawyers(s): Richard Slavin
Arbitrator(s): John J. Mager, Benjamin H. Green, John Michael Bergin
Hearing Site: Hartford, CT
21-0250712/05/2022Claimant(s): Michael Miller
Claimant Lawyers(s): Gregg Adler
Respondent(s): TD Private Client Wealth LLC
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Edward S. Hill, Patrick Leo Kennedy, Peter E. Gillespie
Hearing Site: Hartford, CT
22-0106811/23/2022Claimant(s): Cam Grace Porter, David Latimer Porter
Claimant Lawyers(s): Howard Rosenfield
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Jill Pilgrim
Hearing Site: Hartford, CT
Checkmark Icon$0
21-0228411/17/2022Claimant(s): Jose Camacho
Claimant Lawyers(s): Aaron A. Romney
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Julian F. Santos
Hearing Site: Hartford, CT
Checkmark Icon$0
22-0076411/16/2022Claimant(s): Ralph Giansanti
Claimant Lawyers(s): Richard Slavin
Respondent(s): Harvest Capital LLC
Respondent Lawyers(s): Ralph Giansanti
Arbitrator(s): John J. Mager, Richard Hallett Nichol, Jud Perkins
Hearing Site: Hartford, CT

251 Results

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