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FINRA Awards for Kevin Caputo

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0626810/04/2012Claimant(s): Richman Bry
Claimant Lawyers(s): Thomas Dressler
Respondent(s): Citigroup Global Markets., Kevin Caputo
Respondent Lawyers(s): Adam Kauff, Sylvia M. Scott
Arbitrator(s): Robert C. Albini
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
09-0335311/16/2011Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin A. Goldberg
Respondent(s): Kevin Caputo
Respondent Lawyers(s): Kevin J. Caputo
Arbitrator(s): J. Jean Elliott, Edward J. Costello, Ronald D. Goldman
Hearing Site: Los Angeles, CA
09-0205911/18/2010Claimant(s): William Quiros
Claimant Lawyers(s): David Gurnick
Respondent(s): Kevin Caputo, Merrill Lynch Pierce Fenner & Smith Inc., Steven Port
Respondent Lawyers(s): Christine A. Page, Susan L. Hoffman
Arbitrator(s): Barbara Faye Vosen, David W. Casey, Walter R. Whitman
Hearing Site: Los Angeles, CA
Checkmark Icon$500,000

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