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FINRA Awards for Frank R. Niederman

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0117403/16/2012Claimant(s): Leonard DeFranco
Claimant Lawyers(s): Adam S. Tracy
Respondent(s): Robert DeCanio, Ladenburg Thalmann & Co. Inc.
Respondent Lawyers(s): Joseph Giovanniello
Arbitrator(s): William M. Getzoff, Frank R. Niederman, Steven H. Vogel
Hearing Site: Chicago, IL
Checkmark Icon$0
10-0300601/17/2012Claimant(s): James Lockwood
Claimant Lawyers(s): Jennifer Walsh Hammer
Respondent(s): Gary Lowery, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Patrick G. King
Arbitrator(s): Frank R. Niederman, Arne R. Rode, Leon Fox
Hearing Site: Chicago, IL
Checkmark IconExpungement

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