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FINRA Awards for Richard N. Kelmans

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0244008/24/2016Claimant(s): Robert Rovner
Claimant Lawyers(s): Kyle M. Kulzer
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Leo G. Kogan
Arbitrator(s): John J. Jordan, Alan M. Schankel, Richard N. Kelmans
Hearing Site: Philadelphia, PA
Checkmark Icon$115,000
14-0190804/08/2015Claimant(s): Christine DiJullia, Daniel Alampi
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Richard N. Kelmans, Mark E. Hollern, Joseph H. Danziger
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
10-0195306/08/2011Claimant(s): Joseph Heenan
Claimant Lawyers(s): Adam Green
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Joshua R. Dutill
Arbitrator(s): Gordon M. Wase, Richard N. Kelmans, Adam Bronstein
Hearing Site: Philadelphia, PA
Checkmark Icon$0
09-0714504/14/2011Claimant(s): Michael Duddy, Nuala Duddy, Michael J. Duddy and Nuala C. Duddy
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): Richard N. Kelmans, Rochelle K. Kaplan, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
Checkmark Icon$100,000
09-0548901/11/2011Claimant(s): George Saltzman
Claimant Lawyers(s): David F. McComb
Respondent(s): Jeffrey Smith, Morgan Stanley
Respondent Lawyers(s): Allison J. Adler
Arbitrator(s): Guillermo L. Bosch, Elizabeth A. McKinney, Richard N. Kelmans
Hearing Site: Philadelphia, PA

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