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FINRA Awards for Susan Mills Richmond

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0467309/23/2011Claimant(s): Bruce D. Angiolillo and Carol Angiolillo
Claimant Lawyers(s): Mitchell Berns
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Susan Mills Richmond, Zuhayr A. Moghrabi, Erica Bunin
Hearing Site: New York, NY
Checkmark Icon$1,125,140
10-0228409/06/2011Claimant(s): Mitchell Asch
Claimant Lawyers(s): Mitchell Lawrence Asch
Respondent(s): Raymond, James & Associates., Peter Delahunt
Respondent Lawyers(s): Ann M. Hensler
Arbitrator(s): Harvey Barrison, James S. Hazard, Susan Mills Richmond
Hearing Site: New York, NY
09-0517211/16/2010Claimant(s): National Financial Services.
Claimant Lawyers(s): Michael G. Shannon
Respondent(s): John Stroud, Stroud Capital Fund, Stroud Capital GP, Stroud Capital Management LLC
Respondent Lawyers(s): David Stroud
Arbitrator(s): Douglas F. Stone, Susan Mills Richmond, Clarence Smith
Hearing Site: New York, NY
Checkmark Icon$0
06-0382807/27/2009Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): Eric Boory, Eric Stevens, Gerald Grossman, Morgan Stanley DW Inc., Scott Lerner, Stanley Lerner
Respondent Lawyers(s): John Greco, Philip J. Campisi
Arbitrator(s): Sheldon Seligsohn, Glenn J. Hansen, Susan Mills Richmond
Hearing Site: Philadelphia, PA

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