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FINRA Awards for Joseph Christopher Rosa

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0330108/11/2014Claimant(s): Endre Balazs, Janet Delinger
Claimant Lawyers(s): Henry Pass, Richard G. Tuttle
Respondent(s): Andrew Levas, Bennett Firestein, Bill Grous, Morgan Stanley & Co.
Respondent Lawyers(s): Thomas P. Briody
Arbitrator(s): Daniel J. McCarthy, Julian F. Santos, Joseph Christopher Rosa
Hearing Site: Newark, NJ
Checkmark IconExpungement
09-0632010/31/2011Claimant(s): Estate of Margaret Cwirko
Claimant Lawyers(s): Robert Mahoney
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): John Castelly
Arbitrator(s): Dwight Wassong, Edward W. Morris, Joseph Christopher Rosa
Hearing Site: Newark, NJ
Checkmark Icon$241,344
08-0084908/18/2009Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Thomas A. Volz
Respondent(s): Michael Caprioni
Respondent Lawyers(s): Michael Caprioni
Arbitrator(s): James M. Baumann, Alan Shaw, Joseph Christopher Rosa
Hearing Site: Newark, NJ

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