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FINRA Awards for Alfred H. Kingon

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Displaying 10 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0158807/06/2015Claimant(s): Adrienne Dobrin, Dennis Dobrin
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Alan Chodosh, David Lerner Associates., David Lerner, Edward Finocchiaro, John Dempsey, Martin Lerner
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Shelley Teitelbaum, Alfred H. Kingon, Clarence Smith
Hearing Site: New York, NY
Checkmark IconExpungement
12-0429809/10/2014Claimant(s): Rajinder Bhatia
Claimant Lawyers(s): Alice Holly Oshins
Respondent(s): Ameriprise Financial Services., Jared Cohen
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Alfred H. Kingon, James M. Rhodes, Stephen M. Schaedtler
Hearing Site: New York, NY
Checkmark IconExpungement
11-0467902/12/2013Claimant(s): Tullett Prebon Americas Corp., Tullett Prebon Financial Services LLC
Claimant Lawyers(s): Jonathan Stoler
Respondent(s): James Pryor
Respondent Lawyers(s): Michael Mui
Arbitrator(s): Martin Hunger, Alfred H. Kingon, Paul C. Tang
Hearing Site: New York, NY
10-0181212/14/2012Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): John K. Wells
Respondent(s): Hemant Singh
Respondent Lawyers(s): Philip L. Guarino
Arbitrator(s): Henry Tiffany, Sandra Gale Behrle, Alfred H. Kingon
Hearing Site: New York, NY
11-0371204/26/2012Claimant(s): Michael Koegler
Claimant Lawyers(s): Marc O. Sheridan
Respondent(s): Blackbird North America
Respondent Lawyers(s): Shawn Dorsch
Arbitrator(s): Alfred H. Kingon
Hearing Site: New York, NY
10-0420203/21/2012Claimant(s): Karen Papasergiou, Serge Papasergiou
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Alfred H. Kingon, Daniel A. Dolan, Edwin H. Bennett
Hearing Site: New York, NY
Checkmark IconExpungement
10-0241507/22/2011Claimant(s): Richard Bierbaum
Claimant Lawyers(s): Julian W. Friedman
Respondent(s): Credit Agricole Securities (USA) Inc.
Respondent Lawyers(s): Elizabeth M. Borkin
Arbitrator(s): Scott Pierce, Alfred H. Kingon, Selma Moy
Hearing Site: New York, NY
08-0495303/24/2011Claimant(s): Ahmass Fakahany
Claimant Lawyers(s): Eric Seiler
Respondent(s): Ann Reese, Armando Codina, John Finnegan, John Thain, Joseph Prueher, Merrill Lynch Pierce Fenner & Smith Inc., Banc Of America Securities LLC, Bank of America Corporation, MER Merger Corporation, Merrill Lynch & Co..
Respondent Lawyers(s): Scott Musoff
Arbitrator(s): Alfred H. Kingon, Martin A. Edelstein, Thomas M. Amadio
Hearing Site: New York, NY
10-0129003/02/2011Claimant(s): Vincent Cipollaro
Claimant Lawyers(s): Michael M. Steinmetz
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Susan Poder MacFarlane
Arbitrator(s): Alfred H. Kingon, Paul S. Biederman, Arthur M. Schoenberger
Hearing Site: New York, NY
Checkmark Icon$0
09-0101108/24/2010Claimant(s): Sandy Lerner
Claimant Lawyers(s): Louis F. Burke
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Carol E. Weir, David J. Pine, Alfred H. Kingon
Hearing Site: New York, NY
Checkmark Icon$0

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