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FINRA Awards for Summit Equities.

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0037702/07/2024Claimant(s): Thomas Stappas
Claimant Lawyers(s): Thomas Stappas
Respondent(s): Summit Equities.
Respondent Lawyers(s): Patricia Baker
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
06-0375305/06/2008Claimant(s): Richard B., and Lucy A. Barnes
Claimant Lawyers(s): Devanshu L. Modi
Respondent(s): Summit Equities.
Respondent Lawyers(s): Michael Schwartzberg
Arbitrator(s): Cynthia H. Plishtin, Alan Shaw, Richard V. Adams
Hearing Site: New York, NY
Checkmark Icon$0
04-0711110/10/2007Claimant(s): Michael Distefano
Claimant Lawyers(s): Brian J. Neville
Respondent(s): David Chepauskas, Summit Equities.
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Harry D. Frisch, Anthony P. Connolly, Joseph F. Kelley
Hearing Site: Newark, NJ
Checkmark IconStipulated Award and Expungement

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