FINRA Awards for Richard A. Stephens

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Displaying 11-14 out of 14 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
09-00748	10/28/2009	Claimant(s): Alan Evans Claimant Lawyers(s): Richard A. Stephens Respondent(s): Ettore Ventrice, Michael Bober, Sanford Steinberg Respondent Lawyers(s): James D. Sallah Arbitrator(s): Sheldon I. Saitlin, Richard J. Kaplan, Edwin J. Slovitt Hearing Site: Boca Raton, FL		$0
08-00533	07/13/2009	Claimant(s): William Corcoran Claimant Lawyers(s): Richard A. Stephens Respondent(s): Prestige Financial Center. Respondent Lawyers(s): Jonathan B. Butler Arbitrator(s): John N. Breazeale, David P. Slater, Richard J. Kaplan Hearing Site: Boca Raton, FL		$402,253
08-00976	02/26/2009	Claimant(s): Jason Reitelman Claimant Lawyers(s): Richard A. Stephens Respondent(s): Noble International Investments. Respondent Lawyers(s): Neil S. Baritz Arbitrator(s): Howard I. Ralby, Alice J. Johnson, Mitchell F. Colen Hearing Site: Boca Raton, FL
07-03487	12/10/2008	Claimant(s): Vincent P. Miraglia, MD, PA, Trustee Claimant Lawyers(s): Richard A. Stephens Respondent(s): Wachovia Securities Respondent Lawyers(s): Jason S. Haselkorn Arbitrator(s): Marie G. Peterson, Barry S. Shanbron, James Chris Mills Hearing Site: Boca Raton, FL		$0