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FINRA Awards for Alan Gilmore

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Displaying 10 out of 11 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0044606/26/2020Claimant(s): Alan Gottlob
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Private Consulting Group.
Respondent Lawyers(s): Robert L. Keys
Arbitrator(s): Alan J. Blocher, Gordon M. Wase, Robert E. Anderson
Hearing Site: Wilmington, DE
16-0131711/07/2018Claimant(s): Urszula Thompson
Claimant Lawyers(s): Thomas P. Kelly
Respondent(s): Richard Muhlberg, Metis Advisors
Respondent Lawyers(s): Alan Gilmore
Arbitrator(s): Catherine Stewart, Jane Tam, Carrie L. Chelko
Hearing Site: Wilmington, DE
Checkmark Icon$17,900
15-0001508/11/2016Claimant(s): Suzanne Rickwal
Claimant Lawyers(s): Alan Gilmore
Respondent(s): J.H. Darbie & Co..
Respondent Lawyers(s): N. Ari Weisbrot
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
Checkmark Icon$0
13-0048708/25/2014Claimant(s): Richard Gabay
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Aviv Hen, Stephen Grivas
Respondent Lawyers(s): Aviv Michael Hen, Martin P. Unger
Arbitrator(s): Martin L. Feinberg, Carolyn A. Mann, Amy Y. Moy
Hearing Site: New York, NY
Checkmark Icon$166,658
10-0470301/28/2014Claimant(s): Jane Katzen
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Frank Faverzani, Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): E. William Pastor, Glenn J. Hansen, Paul Ribner
Hearing Site: Philadelphia, PA
Checkmark Icon$375
13-0244510/18/2013Claimant(s): Richard Gabay
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Obsidian Financial Group
Respondent Lawyers(s): Kevin Sharma
Arbitrator(s): Carolyn A. Mann
Hearing Site: New York, NY
Checkmark Icon$217,000
10-0466111/01/2011Claimant(s): Claire Cicalese
Claimant Lawyers(s): Alan Gilmore
Respondent(s): James Gaul, Jeffrey Rachlin, Alternative Wealth Strategies.
Respondent Lawyers(s): James C. Gaul, James Carl Gaul, Jeffrey Rachlin
Arbitrator(s): Robert E. Anderson, Barbara Weisman, Joan Marie Chiusano
Hearing Site: Newark, NJ
Checkmark Icon$97,000
11-0048506/29/2011Claimant(s): Claire Cicalese
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Gregory Kwasnicki
Respondent Lawyers(s): Gregory Thomas Kwasnicki
Arbitrator(s): Richard D. DeVita
Hearing Site: Newark, NJ
Checkmark Icon$157,000
09-0488003/09/2011Claimant(s): Craig & Kathleen Juntunen Living Trust
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Jeffry Korte, Merrill Lynch Pierce Fenner & Smith Inc., Richard Wilson
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Joe S. Tarrer, Cynthia B. Stone, Amy L. Wachs
Hearing Site: Phoenix, AZ
Checkmark IconExpungement
09-0228302/11/2010Claimant(s): Lioudmila Pashenkov
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Wachovia Securities, Michael Stevens
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Craig Scott Bartlett
Hearing Site: Newark, NJ
Checkmark Icon$2,213

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