FINRA Awards for Sanford S. Stevens

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Displaying 21-28 out of 28 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
10-04090	06/22/2011	Claimant(s): Lehman Brothers Holdings Inc. as assigne Claimant Lawyers(s): Barry S. Gold Respondent(s): Marlon Smith Respondent Lawyers(s): Marlon R. Smith Arbitrator(s): Sanford S. Stevens Hearing Site: New York, NY
10-04549	05/27/2011	Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Frank J. Vitolo Respondent(s): Frank Baudille Respondent Lawyers(s): Frank David Baudille Arbitrator(s): Sanford S. Stevens Hearing Site: New York, NY
10-03072	02/14/2011	Claimant(s): Financial Network Investment Corporation Claimant Lawyers(s): Elizabeth Schmid Respondent(s): Thomas Pfeiffer Respondent Lawyers(s): Thomas S. Pfeiffer Arbitrator(s): Sanford S. Stevens Hearing Site: New York, NY
09-06136	12/07/2010	Claimant(s): Janney Montgomery Scott LLC Claimant Lawyers(s): William E. Mahoney Respondent(s): Craig Rappaport Respondent Lawyers(s): Craig H. Rappaport Arbitrator(s): John J. Jordan, Sanford S. Stevens, Carl E. Esser Hearing Site: Philadelphia, PA
10-00741	12/06/2010	Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Edward Walton Respondent(s): Michael Gavin Respondent Lawyers(s): Michael Francis Gavin Arbitrator(s): Sanford S. Stevens Hearing Site: Philadelphia, PA
09-06718	06/16/2010	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Brady J. Hermann Respondent(s): Robert Lenihan Respondent Lawyers(s): Robert Joseph Lenihan Arbitrator(s): Sanford S. Stevens Hearing Site: New York, NY
08-04959	10/30/2009	Claimant(s): Ellen Oxman Claimant Lawyers(s): Stanley Alter Respondent(s): Bert Iannone, Fidelity Brokerage Services LLC Respondent Lawyers(s): Cameron S. Matheson Arbitrator(s): Peter C. Trent, Sanford S. Stevens, Howard Breindel Hearing Site: New York, NY		$0
06-00535	08/20/2007	Claimant(s): Robert Dentice Claimant Lawyers(s): Howard S. Meyers Respondent(s): CIBC World Markets Corp. Respondent Lawyers(s): Jay S. Berke Arbitrator(s): Joseph J. Leegan, Sanford S. Stevens, Russell Stine Heckler Hearing Site: New York, NY