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FINRA Awards for Caroline N. Harney

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Case Number Award Date Case Summary Customer Case? Amount Granted
22-0215003/22/2024Claimant(s): Alfredo Serrano, Daniel Raupp, Gary Phelps, Henry Enno, Manfred Hegwer, Scott Weissman, Thomas Bruce
Claimant Lawyers(s): Alan L. Rosca
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Meaghan VerGow
Arbitrator(s): Caroline N. Harney, Allen Greenberg, Mark W Solock
Hearing Site: Chicago, IL
11-0294507/26/2012Claimant(s): Fred Prudhomme
Claimant Lawyers(s): James A. McGurk
Respondent(s): Arnold Janickas, E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Ray J. Grzebielski, Caroline N. Harney, Michael R. Sherwin
Hearing Site: Chicago, IL
Checkmark Icon$140,300
06-0509901/18/2008Claimant(s): David Peregrin
Claimant Lawyers(s): James A. McGurk
Respondent(s): William Kassar
Respondent Lawyers(s): James J. Eccleston
Arbitrator(s): Caroline N. Harney, Carol McHugh Sanders, Gary David Cope
Hearing Site: Chicago, IL
Checkmark Icon$198,297

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