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FINRA Awards for Joseph C. Rosa

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0078502/10/2010Claimant(s): LaVerne VanDeWettering
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Stifel, Nicolaus & Co.., Ronald Wruck
Respondent Lawyers(s): Joseph C. Rosa
Arbitrator(s): Thomas F. Mahoney, Robert F. O'Keef, Dennis M. Selby
Hearing Site: Milwaukee, WI
Checkmark Icon$0
08-0156101/02/2009Claimant(s): Camille Parrella
Claimant Lawyers(s): Karen J. Van Ingen
Respondent(s): Stifel, Nicolaus & Co.., John Gallagher, Ryan Beck & Co., Stifel Financial Corp.
Respondent Lawyers(s): Joseph C. Rosa
Arbitrator(s): Aaron Tyk
Hearing Site: New York, NY
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