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FINRA Awards for Alliance Affiliated Equities Corporation

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0178803/26/2018Claimant(s): Alliance Affiliated Equities Corporation
Claimant Lawyers(s): Jeffery Gibbs
Respondent(s): Louis Kittlaus
Respondent Lawyers(s): Louis Karl Kittlaus
Arbitrator(s): Mark L. Williams
Hearing Site: Kansas City, MO
15-0208302/01/2017Claimant(s): Paul Kaplan
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): David Dyer, Alliance Affiliated Equities Corporation
Respondent Lawyers(s): David Freniere
Arbitrator(s): Sandor I. Rabkin, Byron Alexander Menides, Nickolas F. Monteforte
Hearing Site: Boston, MA
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