FINRA Awards for Dennis R. Surprenant

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
14-03458	11/10/2015	Claimant(s): Alfred Hovis Claimant Lawyers(s): William Scott Turnbull Respondent(s): Jeanne Mazza Respondent Lawyers(s): Jeanie Mazza Arbitrator(s): Stephen Kahane, Andrew Jay Kohan, Dennis R. Surprenant Hearing Site: Boca Raton, FL		Expungement
09-00526	04/10/2013	Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Leo Kogan Respondent(s): Bert Gilbert Respondent Lawyers(s): Bert J. Gilbert Arbitrator(s): Stephen M. Acerra, Maxwell J. Mahoney, Dennis R. Surprenant Hearing Site: Boston, MA
09-03441	04/26/2010	Claimant(s): Peter Lombard Claimant Lawyers(s): Howard I. Elman Respondent(s): Jefferies & Company., Jefferies Group. Respondent Lawyers(s): David Elsberg Arbitrator(s): Howard I. Wilgoren, Jeffrey P. Petrucelly, Dennis R. Surprenant Hearing Site: Boston, MA
08-04393	11/11/2009	Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Catania T. Facher Respondent(s): John Leonetti Respondent Lawyers(s): Paul J. Vincenti Arbitrator(s): Richard J. Grahn, Marilyn H. Zuckerman, Dennis R. Surprenant Hearing Site: Boston, MA