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FINRA Awards for Sinclaire & Associates

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0307211/06/2019Claimant(s): Michael Pallotta, Neil Marcus, Neil J. Marcus, Trustee for the, Arthur C. Licchillo U/A dtd 11/5/97
Claimant Lawyers(s): Charles C. Mihalek, Stephen S. Stallings
Respondent(s): Ross, Sinclaire & Associates
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Steven Gerard Goerke, S. Ronald Daniels, Andrea R. Jacobs
Hearing Site: Boca Raton, FL
Checkmark Icon$2,110,540
18-0062711/19/2018Claimant(s): Arthur C. Licchillo Trust
Claimant Lawyers(s): Charles C. Mihalek
Respondent(s): Ross, Sinclaire & Associates
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): George G. Kurschner, Thomas W. Allen, Robin B. Clawson
Hearing Site: Boca Raton, FL
Checkmark Icon$0
09-0521806/09/2010Claimant(s): Ross, Sinclaire & Associates
Claimant Lawyers(s): Louis F. Solimine
Respondent(s): Clayton Lowell & Conger.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Thomas J. McAllister
Hearing Site: Cincinnati, OH

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