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FINRA Awards for Thomas J. McCabe

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Displaying 7 out of 7 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0125503/02/2023Claimant(s): Serge Parakhnevich
Claimant Lawyers(s): Thomas J. McCabe
Respondent(s): Aegis Capital Corp., PHX Financial.
Respondent Lawyers(s): Kevin Meade, Phillip McKie
Arbitrator(s): Lise Gabrielle Hunter, Rena E. Grossfield, April D. Bowie
Hearing Site: New York, NY
21-0037805/28/2021Claimant(s): Jeffrey Krug
Claimant Lawyers(s): Thomas J. McCabe
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): John DiNapoli
Arbitrator(s): Jill Pilgrim
Hearing Site: New York, NY
15-0039808/10/2016Claimant(s): Dan Malauskas, Sharon Malauska
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Anastasios Belesis, Baris Cabalar, John Thomas Financial
Respondent Lawyers(s): Anthony C. Varbero, Thomas J. McCabe, Tom Belesis
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
Checkmark IconStipulated Award
12-0331010/22/2015Claimant(s): John Bensman
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Michael Oromaner, Brookville Capital Partners LLC, New Castle Financial Group.
Respondent Lawyers(s): Corporate Office, Gabriel Iezzoni, Custodian, Thomas J. McCabe
Arbitrator(s): James Patrick Graven
Hearing Site: Columbus, OH
Checkmark Icon$29,277
14-0131208/11/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): Nick Hsieh
Respondent Lawyers(s): Thomas J. McCabe
Arbitrator(s): Richard W. Cutler, Michele S. Riley, Mark J. Happe
Hearing Site: New York, NY
12-0191505/15/2013Claimant(s): Bart Rogers, John Clark, John Rogers, Krista Clark, Marcy Rogers, Marianne Drozak
Claimant Lawyers(s): Edward J. Boyle
Respondent(s): Seaport Securities Corp.
Respondent Lawyers(s): Thomas J. McCabe
Arbitrator(s): Daniel J. McCarthy, William E. Goydan, Bernard M. Levine
Hearing Site: New York, NY
Checkmark Icon$0
09-0593407/11/2011Claimant(s): HAP Trading
Claimant Lawyers(s): Thomas J. McCabe
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Gabrielle Gould
Arbitrator(s): Robert L. Spangler, Allan N. Taffet, Mark J. Happe
Hearing Site: New York, NY

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