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FINRA Awards for Michael Schwartzberg

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Displaying 9 out of 9 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0364604/07/2023Claimant(s): John Kruk, Kruk Joint Revocable Trust UAD 1-30-17
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Brian Megley, Cetera Advisors LLC
Respondent Lawyers(s): Michael Schwartzberg
Arbitrator(s): Jim Geiger, Diane Ciccone, Jeremy M. Bloomenthal
Hearing Site: Providence, RI
Checkmark IconExpungement
16-0370812/13/2018Claimant(s): Lionel Shaw
Claimant Lawyers(s): Garet D. O'Keefe
Respondent(s): Summit Brokerage Services.
Respondent Lawyers(s): Michael Schwartzberg
Arbitrator(s): Michelle Judy Brant, Alden Sharp Adkins, Roland Neil Burgess
Hearing Site: San Francisco, CA
14-0141508/05/2016Claimant(s): Susan Mueller
Claimant Lawyers(s): Dale R. Jensen
Respondent(s): David Thompson, Wall Street Financial Group.
Respondent Lawyers(s): Marni Rae Robin, Michael Schwartzberg
Arbitrator(s): Richard E. Lauziere, Christopher M. McMurray, David R. Johnson
Hearing Site: Richmond, VA
Checkmark Icon$0
12-0273406/09/2014Claimant(s): Kaylyn Kelsey Kerr 1989 Trust, Kaylyn Kerr Irrevocable Trust
Claimant Lawyers(s): Bryan Forman
Respondent(s): Donald Donahue, John Mahoney, Suzanne Gavin, 1st Worldwide Financial Partners, Llc
Respondent Lawyers(s): John F. Mahoney, Michael Schwartzberg, Suzanne Gavin Mahoney
Arbitrator(s): William E. Hartsfield, Robert L. Chisolm, Russell Phillips Gandy
Hearing Site: Dallas, TX
Checkmark IconExpungement
11-0328906/18/2012Claimant(s): Wall Street Financial Group.
Claimant Lawyers(s): Michael Schwartzberg
Respondent(s): Walter Grenda
Respondent Lawyers(s): Walter Grenda
Arbitrator(s): Peter A.P. Dunlop
Hearing Site: Buffalo, NY
11-0086206/06/2012Claimant(s): Melaine LLC
Claimant Lawyers(s): Richard Kraut
Respondent(s): Neal Deutsch, Chestnut Investment Group, First Allied Securities.
Respondent Lawyers(s): Michael Schwartzberg
Arbitrator(s): Linda R. Alpert, Linda Ashley, Sheryl-Anne Sastow
Hearing Site: New York, NY
Checkmark Icon$0
08-0221003/15/2010Claimant(s): Andrew McConnell
Claimant Lawyers(s): Michael Schwartzberg
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Robert S. Whitman
Arbitrator(s): Joel P. Mellis, Harry T. Walters, Christine Moore
Hearing Site: New York, NY
08-0044905/20/2009Claimant(s): Gordon Levey
Claimant Lawyers(s): Michael Schwartzberg
Respondent(s): Barret Naylor, Douglas Lowey, Brownstone Investment Group
Respondent Lawyers(s): Eric B. Fisher, Michael H. Ference
Arbitrator(s): Hugh N. Fryer, Peter A. Goldman, Michael F. Spellman
Hearing Site: New York, NY
06-0375305/06/2008Claimant(s): Richard B., and Lucy A. Barnes
Claimant Lawyers(s): Devanshu L. Modi
Respondent(s): Summit Equities.
Respondent Lawyers(s): Michael Schwartzberg
Arbitrator(s): Cynthia H. Plishtin, Alan Shaw, Richard V. Adams
Hearing Site: New York, NY
Checkmark Icon$0

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