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FINRA Awards for Martin Hauptman

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0283501/26/2012Claimant(s): Jeffrey Alexander
Claimant Lawyers(s): Logan S. Fisher
Respondent(s): Martin Hauptman
Respondent Lawyers(s): Adolph Seltzer
Arbitrator(s): Leah G. Rabinowitz, Marguerite B. Filson, Stephen M. Gross
Hearing Site: New York, NY
Expungement
09-0714703/01/2011Claimant(s): Martin Hauptman
Claimant Lawyers(s): Adolph D. Seltzer
Respondent(s): Jeffrey Alexander, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Robert L. Salzberg, Robert M. Goldstein, Nicholas Brunero
Hearing Site: New York, NY
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