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FINRA Awards for Richard Montaldo

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Case Number Award Date Case Summary Customer Case? Amount Granted
24-0054406/07/2024Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Richard Montaldo, Jr.
Respondent Lawyers(s): Richard Frank Montaldo, Jr.
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
17-0307804/17/2018Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Richard Montaldo
Respondent Lawyers(s): Richard Frank Montaldo
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY

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