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FINRA Awards for Richard E. Lauziere

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Displaying 11-20 out of 30 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0110211/21/2019Claimant(s): Thomas Clark
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
18-0286007/09/2019Claimant(s): Franklyn Clarke
Claimant Lawyers(s): Robert W. Pearce
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
18-0365306/11/2019Claimant(s): Young Lee
Claimant Lawyers(s): Young S. Lee
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
Checkmark Icon$0
17-0277402/20/2019Claimant(s): Dennis Francy
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Alexander Gorchakov, Nelson Felix, Wilfredo Felix, Primex
Respondent Lawyers(s): Alexander Gorchakov, Michael D. Handelsman
Arbitrator(s): Richard E. Lauziere, Ezio Borchini, John James McGovern
Hearing Site: Baltimore, MD
Checkmark Icon$72,896
16-0037810/09/2018Claimant(s): Jerry Duke
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Ralph Principe, America's Choice Equities LLC
Respondent Lawyers(s): Michael Gilmore
Arbitrator(s): Richard E. Lauziere, Jim Geiger, Joseph J. Dougherty
Hearing Site: Wilmington, DE
Checkmark Icon$0
18-0063208/24/2018Claimant(s): Curtis Frazee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
15-0070903/29/2017Claimant(s): Luis Cummings-Carrero, Caribbean Anesthesia Society
Claimant Lawyers(s): Eric Quetglas-Jordan, Luis E. Minana
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Jaime E. Toro- Monserrate, Lawrence E. Fenster
Arbitrator(s): Richard E. Lauziere, James Sean Healey, Robert Lawrence Ostrov
Hearing Site: San Juan, PR
Checkmark Icon$4,423,180
14-0233103/24/2017Claimant(s): Alba Luz Rodriguez, Venancio Velazquez
Claimant Lawyers(s): Normarie Rodriguez-Perez, Osavldo Carlo
Respondent(s): Anita Brennan, UBS Financial Services Inc., Marina Tudela, UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Linnette Figueroa-Torres, Peter J. Macdonald, Roberto C. Quinones-Rivera
Arbitrator(s): Richard E. Lauziere, Allan R. Lazor, Peter A. Roche
Hearing Site: San Juan, PR
Checkmark IconExpungement
15-0334402/22/2017Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Caryn D. Shaw
Respondent(s): Justin Hendrick
Respondent Lawyers(s): Justin Hendrick
Arbitrator(s): Richard E. Lauziere, Gregory Hunter Mathews, Linda Arlene Michler
Hearing Site: Norfolk, VA
15-0077701/23/2017Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Jeffrey Smith
Respondent Lawyers(s): Jeffrey H. Smith
Arbitrator(s): Richard E. Lauziere, Glenn H. Catalano, David Paul Clark
Hearing Site: Norfolk, VA

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