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FINRA Awards for Albany, NY

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Displaying 21-30 out of 81 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0145401/02/2020Claimant(s): Todd Silaika
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sara K. Yates
Arbitrator(s): Alice E. Winkler
Hearing Site: Albany, NY
19-0015208/26/2019Claimant(s): David Keator
Claimant Lawyers(s): Peter F Flynn
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Martin A. Edelstein
Hearing Site: Albany, NY
19-0039907/11/2019Claimant(s): Lawrence King
Claimant Lawyers(s): Mark T Walsh
Respondent(s): Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David M. Purcell
Arbitrator(s): David R. Foley
Hearing Site: Albany, NY
18-0022703/28/2019Claimant(s): Christine Schlosser
Claimant Lawyers(s): Kelly Pressler
Respondent(s): Dean Heinemann, Clayborne Group LLC
Respondent Lawyers(s): David R. Wise
Arbitrator(s): Kenneth R. Hotopp, Ira A. Auerbach, Michael Jaffe
Hearing Site: Albany, NY
Checkmark Icon$250,000
17-0224905/14/2018Claimant(s): Barbara Mittenberg
Claimant Lawyers(s): Barbara L Mittenberg
Respondent(s): Barbara Ginty
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Martin A. Edelstein
Hearing Site: Albany, NY
Checkmark IconExpungement
17-0112902/05/2018Claimant(s): Leonard Valletta
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Pamela H. Roderick
Hearing Site: Albany, NY
17-0127201/03/2018Claimant(s): David Appel, Gimme Shelter
Claimant Lawyers(s): David W. Appel
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): David S. Billet, Timothy A Meigher, Martin A. Edelstein
Hearing Site: Albany, NY
Checkmark IconDismissed by Rule 12206
17-0175811/30/2017Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Kean Bouplon
Respondent Lawyers(s): Kean Lynn Bouplon
Arbitrator(s): Keely D. Parr
Hearing Site: Albany, NY
14-0385311/15/2016Claimant(s): Joseph Ventura, William Tell Services
Claimant Lawyers(s): Wayne A. Smith
Respondent(s): Daniel Mccarty, Richard Pombo, Steven Mannato, Steven Yezzo
Respondent Lawyers(s): Laurie Styka Bloom, Matthew D. Wagoner
Arbitrator(s): Martin Jay Siegel, Timothy A Meigher, Katherine Levitan
Hearing Site: Albany, NY
16-0020109/30/2016Claimant(s): Robert Gray
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Isreal Torres, John Riccardi, Meyers Associates, L.P.
Respondent Lawyers(s): David A. Schrader, Isreal Wilfredo Torres, John F. Riccardi
Arbitrator(s): Jill I. Gross
Hearing Site: Albany, NY
Checkmark Icon$300

81 Results

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