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FINRA Awards for Roger E. Barton

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Case Number Award Date Case Summary Customer Case? Amount Granted
22-0230311/30/2023Claimant(s): Whelan Advisory Capital Markets, Whelan Advisory
Claimant Lawyers(s): Roger E. Barton
Respondent(s): HomeSource Operations
Respondent Lawyers(s): Brian J. Capitummino
Arbitrator(s): Robert Neal Hunter, David F. Simon, John Gorman
Hearing Site: New York, NY
16-0372812/18/2017Claimant(s): Stonehaven
Claimant Lawyers(s): Roger E. Barton
Respondent(s): Seer Capital Management
Respondent Lawyers(s): Robert Knuts
Arbitrator(s): Joseph I. Liebman, Sandra Holtzman, Paul M. Friedman
Hearing Site: New York, NY
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