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FINRA Awards for Richard J. Grahn

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Displaying 10 out of 31 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0280906/25/2024Claimant(s): James Desrocher
Claimant Lawyers(s): Brian Luther
Respondent(s): Park Avenue Securities LLC
Respondent Lawyers(s): Thomas Drogan
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
21-0303906/02/2023Claimant(s): Benjamin Zimbel
Claimant Lawyers(s): Alan D. Rose
Respondent(s): Hornor, Townsend & Kent.
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
21-0279806/17/2022Claimant(s): William Harrison
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): John Hancock Distributors LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
21-0245103/11/2022Claimant(s): Dimitrina Atanasova
Claimant Lawyers(s): Megan Christensen
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Samuel S. Shaulson
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
19-0168612/03/2021Claimant(s): Swan Shen
Claimant Lawyers(s): Jeremy L Bartell
Respondent(s): Cuna Brokerage Services.
Respondent Lawyers(s): Jennifer G. Chawla
Arbitrator(s): Richard J. Grahn, Arthur J. Giacomarra, Mark Andrew Helman
Hearing Site: Boston, MA
20-0239107/08/2021Claimant(s): Alan Sharpe
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
20-0236604/21/2021Claimant(s): Michelle Parretti
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
20-0239004/02/2021Claimant(s): Alan Sharpe
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
20-0296403/16/2021Claimant(s): Michael Capobianco
Claimant Lawyers(s): John A. Mangones
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Tyler Schubauer
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
20-0146711/10/2020Claimant(s): Dushyant Shah
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA

31 Results

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