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FINRA Awards for Garrick A. Rollert

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0508112/13/2010Claimant(s): Dennis L Adams (DECD) IRA,, Mary Kay Adams IRA, Mary Kay Adams Living Trust
Claimant Lawyers(s): James R Anderson
Respondent(s): Oppenheimer & Co.., Susan Rose
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Roland L. Olzark, Garrick A. Rollert, Ronald Marvin Rothstein
Hearing Site: Detroit, MI
Checkmark IconStipulated Award and Expungement
08-0488104/23/2010Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Scott Nicol
Respondent Lawyers(s): Mark T. Butler
Arbitrator(s): Larry C. Kreul, D. Michael Kratchman, Garrick A. Rollert
Hearing Site: Detroit, MI
07-0138602/05/2008Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Raquel Terrigno
Respondent(s): Richard Schwartz
Respondent Lawyers(s): Richard A. Schwartz
Arbitrator(s): Garrick A. Rollert
Hearing Site: Detroit, MI

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