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FINRA Awards for Joan Caridi

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0003309/09/2022Claimant(s): Mark Kolta
Claimant Lawyers(s): Mark S. Kolta
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Daniel Scott Furst
Arbitrator(s): Robert J. Kheel, Joan Caridi, Judith B Weinstock
Hearing Site: New York, NY
13-0296408/03/2016Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): Robert Loftus
Respondent Lawyers(s): James Halter
Arbitrator(s): Joan Caridi, Ann C. Northern, Bernard A. Friedman
Hearing Site: New York, NY

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