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FINRA Awards for Brian J. Neville

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Displaying 10 out of 16 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0238510/07/2022Claimant(s): Jonathan Peters
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): Chad Allen, Oppenheimer & Co.., Matthew Platnico, Petar Arizanov
Respondent Lawyers(s): Brian J. Neville, John T. McGuire, Joseph E. Gasperetti
Arbitrator(s): Thomas E. Duggan, Eugene G. P. Byrne, Tip Henderson
Hearing Site: New York, NY
Checkmark IconExpungement
17-0280406/01/2022Claimant(s):
Claimant Lawyers(s):
Respondent(s): George Tapikenis, Michael Schiavello, Michael Spinosa, Vasilios Takos
Respondent Lawyers(s): Brian J. Neville, Martin P. Unger
Arbitrator(s): Karimu F. Hill-Harvey, Alan Robert Sacks, John McDonald Delehanty
Hearing Site: New York, NY
20-0051102/10/2022Claimant(s): David Thompson
Claimant Lawyers(s): Brian J. Neville
Respondent(s): TD Private Client Wealth
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Leonard E. Benade, Douglas Earl McLaren, Norman Lee Gunn
Hearing Site: Charlotte, NC
16-0033905/16/2017Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): G. Wayne Hillis
Respondent(s): Ginny Neal
Respondent Lawyers(s): Brian J. Neville
Arbitrator(s): Jay L. Valinsky, Gloria O. North, William Kent Brown
Hearing Site: Boca Raton, FL
14-0277710/02/2015Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Alan Blecker
Respondent Lawyers(s): Brian J. Neville
Arbitrator(s): Bernard M. Levine
Hearing Site: Newark, NJ
13-0157912/04/2014Claimant(s): James Young
Claimant Lawyers(s): Brian J. Neville
Respondent(s): James Merkel, James Smith, Jim Wilson, Joe Dickerson, Johnny Jones, Joyce Heitmeyer, Judith Smith, Marian Patton, Mary Heitmeyer, Teresa Wilson, Tom Gawronski, Urban Heitmeyer
Respondent Lawyers(s): James Merkel, James Smith, Jim Wilson, Joe Dickerson, Johnny Jones, Joyce Heitmeyer, Judith Smith, Marion Patton, Mary Heitmeyer, Teresa Wilson, Tom Gawronski, Urban Heitmeyer
Arbitrator(s): Charles G. Michaels, Samuel L. McClaren, Stephen A. Kohn
Hearing Site: Denver, CO
Expungement
13-0111203/20/2014Claimant(s): Arthur Meadows, Virginia Meadows
Claimant Lawyers(s): Brian J. Neville
Respondent(s): Anastasios Belesis, George Belesis, John Thomas Financial
Respondent Lawyers(s): Dan Druz
Arbitrator(s): Irene C. Warshauer
Hearing Site: New York, NY
Checkmark Icon$16,600
13-0106603/05/2014Claimant(s): David Barnett
Claimant Lawyers(s): Brian J. Neville
Respondent(s): Susanne Robbins
Respondent Lawyers(s): Jeffrey R. Sonn
Arbitrator(s): Marc S. Dobin, George J. Blutstein, Bonnie A. Pearce
Hearing Site: Boca Raton, FL
Expungement
13-0090811/05/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Kenneth M. Murray
Respondent(s): Michael Dinapoli
Respondent Lawyers(s): Brian J. Neville
Arbitrator(s): Jacob Aschkenasy
Hearing Site: New York, NY
10-0444612/09/2011Claimant(s): Family Trust Agr. of Olivia P. Miller
Claimant Lawyers(s): Brian J. Neville
Respondent(s): Brian Zaid, John Cvach, Terry Reinhart
Respondent Lawyers(s): Brian Zaid, Richard J. Magid
Arbitrator(s): Jane F. Moore, John Stuart Graham, Stephan Paul Carrier
Hearing Site: Baltimore, MD
Checkmark Icon$55,000

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