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FINRA Awards for A. R. Baron & Co..

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0245311/03/2021Claimant(s): Kevin McPhee
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): A. R. Baron & Co.., American Capital Partners, First United Equities Corporation, Joseph Gunnar & Co.
Respondent Lawyers(s): Jeffrey Weissman, John Gardini, Legal Department, Peter Bon Viso
Arbitrator(s): Selma Moy
Hearing Site: New York, NY
19-0000308/18/2020Claimant(s): Kerry Raheb
Claimant Lawyers(s): Kerry Patrick Raheb
Respondent(s): Tasin & Company., EKN Financial Services Inc., A. R. Baron & Co.., Empire Financial Group., Laidlaw & Company (UK) Ltd., Prestige Financial Center., Spartan Capital Securities
Respondent Lawyers(s): Charles Smulevitz, Diane Alexander, Larry Kirshbaum, Matthew N. Fiorovanti, Salvatore Sapienza, Thomas Michael Giugliano, Tim Moyer
Arbitrator(s): Noel B. Berman
Hearing Site: New York, NY

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