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FINRA Awards for David P. Slater

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Displaying 10 out of 35 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0191509/25/2024Claimant(s): Donna Berman, Teresa Davis
Claimant Lawyers(s): Donna Jules Berman
Respondent(s): Daniel Pikula, Emerson Equity LLC
Respondent Lawyers(s): Chad Weaver, Jeffrey L. Cox
Arbitrator(s): David P. Slater, Leonard Michael Cusano, Jeremy Attia
Hearing Site: Boca Raton, FL
Checkmark Icon$0
22-0228207/25/2023Claimant(s): Christian Searcy
Claimant Lawyers(s): Craig Stein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Marc S. Dobin, David P. Slater, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
22-0113910/10/2022Claimant(s): Peter Bermont
Claimant Lawyers(s): Kimberly A. Koves
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Mark C. Perry, Steven M. Greenbaum, David P. Slater
Hearing Site: Boca Raton, FL
20-0154707/20/2021Claimant(s): Ameriprise Financial Services, American Enterprise Investment Services
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Mariam Silverman, M Silverman Living Trust dated 12/5/18
Respondent Lawyers(s): Jeffrey Kaplan
Arbitrator(s): David P. Slater, Richard J. Kaplan, Alessandra Piras Torrens
Hearing Site: Boca Raton, FL
Checkmark Icon$0
20-0188703/09/2021Claimant(s): Alexandre Braune
Claimant Lawyers(s): Harris Freedman
Respondent(s): Brickell Global Markets.
Respondent Lawyers(s): Christian R. Batalha
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
20-0161012/07/2020Claimant(s): James Springer
Claimant Lawyers(s): Nisha S. Wright
Respondent(s): The Huntington Investment Company
Respondent Lawyers(s): Paul R. Harris
Arbitrator(s): David P. Slater, Kimberly A. Gilmour, Rosemarie Elizabeth Stoffo
Hearing Site: Boca Raton, FL
19-0265603/24/2020Claimant(s): Carter Mansbach
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
18-0408503/02/2020Claimant(s): Cathy Mina, IRA, Louis Mina IRA, Cathy R. Mina, Rev. Trust
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): Gary M. Landau, David P. Slater, Robert Stanley Zack
Hearing Site: Boca Raton, FL
Checkmark Icon$0
18-0031709/12/2018Claimant(s): Gail Schneider, Gail Schneider IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
17-0170005/14/2018Claimant(s): Eugene Sessa
Claimant Lawyers(s): Lars Soreide
Respondent(s): Spencer Laufer, J.H. Darbie & Co..
Respondent Lawyers(s): Lawrence R. Gelber, Spencer David Laufer
Arbitrator(s): David P. Slater, Perry Earl Phillips, Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
Checkmark Icon$100,300

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