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FINRA Awards for Lisa Sue Fildes

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0177608/28/2017Claimant(s): Roy Gruenburg
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): Anthony Mastroianni
Respondent Lawyers(s): Martin S. Siegel
Arbitrator(s): Barry Goldman, A. Robert Stevenson, Lisa Sue Fildes
Hearing Site: Detroit, MI
Checkmark Icon$540,000
15-0064404/13/2016Claimant(s): Alvin Hill
Claimant Lawyers(s): Peter C. Rageas
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): John K. Wells
Arbitrator(s): Lee Hornberger, Gail Katherine Barski-McCracken, Lisa Sue Fildes
Hearing Site: Detroit, MI
12-0009105/28/2013Claimant(s): Myron Kopin, Dr. Myron Kopin IRA
Claimant Lawyers(s): John Henke
Respondent(s): Adolph Tieppo, Florence Klein, Southwest Securities., American Classic Financial Company
Respondent Lawyers(s): Anthony R. Paesano, Hyman Schaffer, Jonathan D. Neerman, Tiffany Cinquemani
Arbitrator(s): John P. Gouttiere, Lee Hornberger, Lisa Sue Fildes
Hearing Site: Detroit, MI
Checkmark Icon$303,000

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