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FINRA Awards for Michael H. DuBoff

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Displaying 31-40 out of 56 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0079512/13/2019Claimant(s): Susan Greenwood
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): NatWest Markets Securities Inc.
Respondent Lawyers(s): Patrick J. Lamparello
Arbitrator(s): Martin Jay Siegel, Michael H DuBoff, Mary P. Bass
Hearing Site: New York, NY
18-0377009/24/2019Claimant(s): Bella Verkhovsky
Claimant Lawyers(s): Elizabeth Goldman
Respondent(s): Brian Sodol, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
Checkmark Icon$0
17-0053709/13/2019Claimant(s): Robert LaPolla
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Garland James
Respondent Lawyers(s): Garland Sean James
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
Checkmark Icon$51,280
18-0285006/12/2019Claimant(s): Primary Capital LLC
Claimant Lawyers(s): Ross David Carmel
Respondent(s): Campo Felice Eb-5 Fund LLC, Campo Felice Management LLC
Respondent Lawyers(s): Aaron R. Resnick
Arbitrator(s): Michael H. DuBoff
Hearing Site: New York, NY
17-0299412/13/2018Claimant(s): Great Vision USD Fund I, L.P.
Claimant Lawyers(s): Leon Baer Borstein
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason Billy
Arbitrator(s): Michael H. DuBoff, John Michael Richardson, Andrew Evan Gelfand
Hearing Site: New York, NY
Checkmark Icon$345,800
18-0017911/19/2018Claimant(s): Daniel Foran
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Raymond James Financial Services.
Respondent Lawyers(s): Jon kaplon, Stanton Fears
Arbitrator(s): Michael H. DuBoff
Hearing Site: Newark, NJ
18-0097808/07/2018Claimant(s): John Quinn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Great Eastern Securities.
Respondent Lawyers(s): Jeffrey Ramson
Arbitrator(s): Michael H. DuBoff
Hearing Site: New York, NY
18-0100407/25/2018Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Mohamed Yassin
Respondent Lawyers(s): Mohamed R. Yassin
Arbitrator(s): Michael H. DuBoff
Hearing Site: New York, NY
17-0308907/17/2018Claimant(s): Bernard Martin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Michael H. DuBoff
Hearing Site: Newark, NJ
17-0156806/20/2018Claimant(s): Howard Weissberg, Howard Weissberg IRA, Sheila Weissberg IRA, Sheila and Howard Weissberg
Claimant Lawyers(s): Thomas J. Romans
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin K. Fair
Arbitrator(s): Michael H. DuBoff
Hearing Site: Newark, NJ
Checkmark Icon$32,881

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