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FINRA Awards for Herbert J. Sims & Co. Inc.

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0209711/06/2020Claimant(s): Jane Zhao, Richard Anderson
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Herbert J. Sims & Co. Inc.
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Edward R. Niederriter, Will Murphy, Paul J. Burkhart
Hearing Site: Boca Raton, FL
Checkmark IconSettlement
16-0115304/15/2019Claimant(s): Kenneth Lieblein, Robin Lieblein, Kenneth R. Lieblein Revocable Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Larry Wolfe, Herbert J. Sims & Co. Inc.
Respondent Lawyers(s): Daniel S. Newman, Larry C. Wolfe
Arbitrator(s): Patricia Morin, Michael J. Quarequio, S. Ronald Daniels
Hearing Site: Boca Raton, FL
Checkmark Icon$510,600
09-0505012/20/2010Claimant(s): Jeffrey Penner, Phyllis Penner
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Herbert J. Sims & Co. Inc.
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Mark C. Perry, James W. Geiger, Mary H. Cory
Hearing Site: Boca Raton, FL
Checkmark Icon$0

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