FINRA Awards for Nickolas F. Monteforte

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Displaying 11-14 out of 14 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
09-05270	11/04/2010	Claimant(s): Anil Chawla Claimant Lawyers(s): Anil K. Chawla Respondent(s): Carol Ring, Gregg Libutti, Valic Financial Advisors. Respondent Lawyers(s): Debra A. Jenks Arbitrator(s): Robert J. Ambrogi, Nickolas F. Monteforte, Susan Lauder Stewart Hearing Site: Boston, MA		$0
08-03849	01/06/2010	Claimant(s): James Dyko and Diane Dyko, JTWROS Claimant Lawyers(s): John E. Sutherland Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam Kauff Arbitrator(s): Jack A. Marshall, Nickolas F. Monteforte, Andrea J. Goldman Hearing Site: Boston, MA		$15,000
07-01976	10/09/2008	Claimant(s): Susan J. Gallagher & John F. Gallagher Claimant Lawyers(s): Bailey Buchanan Nowak Respondent(s): Jesup & Lamont Securities Corp. Respondent Lawyers(s): Todd A. Zuckerbrod Arbitrator(s): Lucy J. Karl, Nickolas F. Monteforte, Maura Lenore Tomaszewski Hearing Site: Boston, MA		$0
06-02927	06/30/2008	Claimant(s): Brendan R. Donovan, IRA Claimant Lawyers(s): Brendan R. Donovan Respondent(s): Richard Patterson, Lehman Brothers Inc Respondent Lawyers(s): Christopher P. Litterio Arbitrator(s): John B. Haggerty, Nickolas F. Monteforte, Gene M. Bauer Hearing Site: Boston, MA		$0