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FINRA Awards for S. Charles Tabak

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Displaying 10 out of 18 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0176704/24/2017Claimant(s): John Burke
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Richard D. Chusid, Robert E. Anderson, S. Charles Tabak
Hearing Site: Newark, NJ
15-0075002/17/2017Claimant(s): Lenford Henry
Claimant Lawyers(s): Steven Fingerhut
Respondent(s): State Farm VP Management Corp.
Respondent Lawyers(s): Margaret L. Watson
Arbitrator(s): S. Charles Tabak, Richard Bryce Nesson
Hearing Site: New York, NY
14-0137306/02/2015Claimant(s): Jeffrey and Julie Mullen
Claimant Lawyers(s): Lance C. McCardle
Respondent(s): Gregory Jacobson, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Stephen L. Lister, S. Charles Tabak, Martin R. Cramer
Hearing Site: Newark, NJ
Checkmark IconExpungement
13-0328201/22/2015Claimant(s): Hartwyck at Oak Tree., JFK Health System., The Community Hospital Group.
Claimant Lawyers(s): Jay J. Rice
Respondent(s): Cain Brothers & Company
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Daniel J. McCarthy, Ariel Berschadsky, S. Charles Tabak
Hearing Site: Newark, NJ
Checkmark IconExpungement
12-0096312/11/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Andrew Donofrio
Respondent Lawyers(s): Andrew Donofrio
Arbitrator(s): S. Charles Tabak, Paul G. Garjian, Ellen Dolores Walsh
Hearing Site: Newark, NJ
13-0080810/07/2014Claimant(s): Vincent Vasta
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Morton S. Bunis, S. Charles Tabak, Richard C. Antonelli
Hearing Site: Newark, NJ
Checkmark IconExpungement
13-0180509/11/2014Claimant(s): Robert Regna
Claimant Lawyers(s): Jeffrey W. Herrmann
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Robert E. Anderson, S. Charles Tabak, Stanley David Goldman
Hearing Site: Newark, NJ
Checkmark IconExpungement
11-0445506/25/2013Claimant(s): Robert Stolte
Claimant Lawyers(s): Alan L. Frank
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Alan Shaw, S. Charles Tabak, Ronald J. Colombo
Hearing Site: Newark, NJ
Checkmark IconExpungement
11-0392305/24/2013Claimant(s): Obsidian Financial Group, Llc
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Keith Steidle
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Yvonne F. Rocco, S. Charles Tabak, Jay Alan Kranis
Hearing Site: Newark, NJ
11-0297112/11/2012Claimant(s): David Baratko
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Meredith Sharoky
Arbitrator(s): William E. Smith, Timothy J. Brown, S. Charles Tabak
Hearing Site: Newark, NJ
Checkmark IconExpungement

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