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FINRA Awards for Joseph E. Floren

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Displaying 9 out of 9 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0166911/19/2024Claimant(s): The MW Trust
Claimant Lawyers(s): Andrew M Greenidge
Respondent(s): Saturna Brokerage Services
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Brent J. Rosenbaum, Jack R. Goetz, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
22-0183811/20/2023Claimant(s): Harvey Silver, The Estate of Gladys Silver
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): E*Trade Securities LLC, TD Ameritrade.
Respondent Lawyers(s): Frank J. Cuccio, Joseph E. Floren
Arbitrator(s): Elizabeth Gilbert, Edward W. Morris, John Franklin Udochi
Hearing Site: New York, NY
Checkmark Icon$440
15-0031111/02/2015Claimant(s): Margaret Lucas
Claimant Lawyers(s): John R. Bobay
Respondent(s): Manning & Napier Investor Services.
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Helen Marinak Blohm, Debra Brothers Self, Philip Ho
Hearing Site: San Francisco, CA
Checkmark Icon$0
11-0243112/20/2012Claimant(s): Irvin Welch
Claimant Lawyers(s): Jan Graham
Respondent(s): Wachovia Securities, Dwayne Alpers, Louis Navellier
Respondent Lawyers(s): Joseph E. Floren, Philip A. McLeod
Arbitrator(s): George J. Karlsven, Joan M. Traub, Michael G. Clark
Hearing Site: Salt Lake City, UT
Checkmark IconExpungement
10-0206003/21/2012Claimant(s): David Nassar, Tracy Nassar, CLD
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): Goldman, Sachs and Company, Drew Corradini
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Susan M. Thevenet, Charles A. Newton, Samuel Clinton O'Daniel
Hearing Site: Denver, CO
Checkmark IconExpungement
09-0589612/29/2010Claimant(s): Peter Williams
Claimant Lawyers(s): Cyrus Tabari
Respondent(s): Bruce Tenenbaum, Goldman, Sachs and Company, Gregory Downing, Magdalena Schmitz
Respondent Lawyers(s): Joseph E. Floren, Kim Alexander Kane
Arbitrator(s): Herbert Liberman, James D. Murray, Joseph Berzok
Hearing Site: San Francisco, CA
Checkmark Icon$47,796
08-0201410/15/2010Claimant(s): Sean Greene
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Dennis Devaney, United Capital Asset Management, United Capital Markets.
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Chester L. Firestein, Vincent J. Natoli, Marvin B. Karelitz
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
07-0290101/23/2009Claimant(s): Kenneth Chyten
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Dennis Devaney, United Capital Markets.
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Kenneth I. Rosenblum, Edward J. Costello, Laurent C. Vonderweidt
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
03-0713203/19/2008Claimant(s): Ischemia Research & Education Foundation
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Glenda L. Rhodes, Laurie E. Law, Joan M. Schroeder
Hearing Site: Seattle, WA
Checkmark Icon$0

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