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FINRA Awards for Kathleen P. Helbig-Hannan

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Displaying 10 out of 27 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0083509/07/2022Claimant(s): Aspiration Financial LLC
Claimant Lawyers(s): Andrew J. Melnick
Respondent(s): Becky Keith
Respondent Lawyers(s): Becky Keith
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
Checkmark Icon$0
20-0316509/23/2021Claimant(s): Vincent Panizzi
Claimant Lawyers(s): Harry Meyer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Detroit, MI
19-0282704/28/2021Claimant(s): Mark Elko
Claimant Lawyers(s): John Stewart
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Allan S. Bloom
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: New York, NY
20-0404604/19/2021Claimant(s): Adam Lohrey
Claimant Lawyers(s): Adam Lohrey
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cincinnati, OH
Checkmark Icon$300
19-0332101/25/2021Claimant(s): John Holborn
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): David Shapiro, CNL Securities Corp., Cadaret, Grant & Co..
Respondent Lawyers(s): David G. Buffa, Jonathan E. Green
Arbitrator(s): Tracy L. Allen, Kathleen P. Helbig-Hannan, Gerald Grace
Hearing Site: Buffalo, NY
Checkmark IconDismissed by Rule 12206
19-0130411/18/2019Claimant(s): Elizabeth Katen, Philip Katen, Ryan Katen, Timothy Katen
Claimant Lawyers(s): Robert H. Rex
Respondent(s): The Tidal Group.
Respondent Lawyers(s): Greg Weselka
Arbitrator(s): Gregory P. Szuter, Daniel G. Zeiser, Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
Checkmark IconDismissed by Rule 12206/12504
16-0307903/05/2018Claimant(s): The Robert A. Weitzel Trust
Claimant Lawyers(s): Hugh D. Berkson
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David Buffa
Arbitrator(s): Kathleen P. Helbig-Hannan, Eileen B. Vernon, Ronald Edward Alexander
Hearing Site: Cleveland, OH
Checkmark IconExpungement
17-0006902/07/2018Claimant(s): Estate of Louis P. Castellarin
Claimant Lawyers(s): John S. Chapman
Respondent(s): Doreen Weber, Jeffrey Schuh, Kevin Larson
Respondent Lawyers(s): F. Chet Taylor
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
Checkmark Icon$20,000
16-0221601/24/2018Claimant(s): Inez Corrado, Mark Corrado
Claimant Lawyers(s): David Justin Gingerich
Respondent(s): Christopher Barone, Dominic Tropiano, Richard Barone, America Northcoast Securities.
Respondent Lawyers(s): Dominic Anthony Tropiano, Michael D. Hoenig
Arbitrator(s): Jeffrey M. Bain, Gregory P. Szuter, Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
Checkmark IconExpungement
16-0237902/03/2017Claimant(s): David Aaron
Claimant Lawyers(s): David J. Aaron
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Kathleen P. Helbig-Hannan, John Nicholas Posch, Michael J Borden
Hearing Site: Cleveland, OH
Checkmark Icon$0

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