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FINRA Awards for The Vertical Group

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0101709/01/2017Claimant(s): The Vertical Group
Claimant Lawyers(s): Robert Schaffer
Respondent(s): Raphael Hochberg
Respondent Lawyers(s): Raphael Derek Hochberg
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
13-0360802/02/2016Claimant(s): James Anglim
Claimant Lawyers(s): Sandra P. Lahens
Respondent(s): The Vertical Group
Respondent Lawyers(s): John Murphy
Arbitrator(s): Joseph N. Stineman, Anthony Dennis Perri, Patricia A. DeWitt
Hearing Site: New York, NY
08-0182101/16/2009Claimant(s): William Assatly
Claimant Lawyers(s): William Assatly
Respondent(s): The Vertical Group
Respondent Lawyers(s): Robert Schaffer
Arbitrator(s): David Hirschberg, David E. Robbins, Julian F. Santos
Hearing Site: New York, NY

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