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FINRA Awards for Paul Giappone

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0217710/07/2011Claimant(s): JonesTrading Institutional Services LLC
Claimant Lawyers(s): Daniel J. Kornstein
Respondent(s): Charles Manning, Douglas Finnegan, Ermenegildo Niutta, Mark Edgar, Meredith Curley, Nomura Securities International.
Respondent Lawyers(s): David Potter, Pearl Zuchlewski, Robin D. Fessel
Arbitrator(s): Alun Hywel Jones, Paul Giappone, Lawrence J. Roth
Hearing Site: New York, NY
09-0170512/16/2009Claimant(s): Henry J. Tortora and Herta M. Tortotra
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Jason Bertsch, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Cindy B. Eisenberg, Christina Kallas, Paul Giappone
Hearing Site: New York, NY
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09-0036610/30/2009Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Timothy Cox
Respondent Lawyers(s): Timothy Joseph Cox
Arbitrator(s): Donald J. Rasweiler, Sherri L. Hughes, Paul Giappone
Hearing Site: New York, NY

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