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FINRA Awards for Jefferies LLC

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Displaying 11-20 out of 23 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0212202/09/2021Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J Shapren
Respondent(s): Jason Schoenholtz
Respondent Lawyers(s): Denis Kelleher
Arbitrator(s): Robert J. Miller, James M. Rhodes, Anna Lascar
Hearing Site: New York, NY
17-0122903/17/2020Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Jonathan Moneypenny
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Howard L. Sobel, Kevin B. Naughten, Eric Zaidins
Hearing Site: New York, NY
18-0054802/24/2020Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew Shapren
Respondent(s): Jerald Slowik
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Kip C Lubcke, Madelyn A. Levy, David John Reilly
Hearing Site: New York, NY
17-0068801/06/2020Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): William Hood
Respondent Lawyers(s): Kevin S. Reed
Arbitrator(s): Kenneth Diamond, Anna M. Fanelli, Robert E. Anderson
Hearing Site: New York, NY
18-0391211/22/2019Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Jeffrey Raphael
Respondent Lawyers(s): Robert L. Herkovits
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
18-0391305/16/2019Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J Shapren
Respondent(s): Brandon Wahl
Respondent Lawyers(s): Justin R. Marino
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: New York, NY
18-0329505/03/2019Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Vy Truong
Respondent Lawyers(s): Vy Truong
Arbitrator(s): Kenneth Paul Williams, Alan Gradzki, Harrison Johnson
Hearing Site: New York, NY
16-0246104/08/2019Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Jon Gegenheimer
Respondent Lawyers(s): Daniel Green
Arbitrator(s): Minnie Loo, Lawrence R. Mills, A. James Oakes
Hearing Site: San Francisco, CA
17-0198602/04/2019Claimant(s): Nebo Investment Fund LP
Claimant Lawyers(s): Sandra Lahens
Respondent(s): Jefferies LLC
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): David S. Billet, Donald Nevin Gershuny, John Michael Bergin
Hearing Site: New York, NY
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17-0186709/13/2018Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Darren Haines
Respondent Lawyers(s): Jonathan Sack
Arbitrator(s): Anthony J. Raimondi, Richard E. Castiglioni, Gerald M. Levine
Hearing Site: New York, NY

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