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FINRA Awards for Clifford A. Harwick

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0168704/11/2016Claimant(s): Charles Lieberman
Claimant Lawyers(s): Jessica Levine
Respondent(s): Joan and Todd Donahue
Respondent Lawyers(s): Todd Donohue
Arbitrator(s): Clifford A. Harwick, Joan M. Traub, Edith M. Novack
Hearing Site: Newark, NJ
Checkmark Icon$0
13-0275701/15/2015Claimant(s): Theresa Jacobs
Claimant Lawyers(s): Howard Rosenfield
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): Louis H. Miron, Clifford A. Harwick, Stephen L. Lister
Hearing Site: Newark, NJ
Checkmark IconExpungement
05-0631611/27/2007Claimant(s): Charles Goldschmidt, David Price, Howard Asher, Ledlie Borgerhoff, Robert Eickholt, Ronald Cook, Terry McSweeney, IRA
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S Clareman
Arbitrator(s): Clifford A. Harwick, Daniel A. Pinkus, Joseph F. Grassi
Hearing Site: New York, NY
Checkmark IconStipulated Award
06-0521111/06/2007Claimant(s): Joan Lair
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Clifford A. Harwick, Robert J. McDonnell, Robert T. Costello
Hearing Site: Newark, NJ
Checkmark Icon$0

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