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FINRA Awards for Sidney J. Wartel

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Displaying 10 out of 12 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0219202/20/2024Claimant(s): Interactive Brokers Llc
Claimant Lawyers(s): Jovalin Dedaj
Respondent(s): Roman Suleymanov
Respondent Lawyers(s): Roman Suleymanov
Arbitrator(s): Diane M. Perry, Sidney J. Wartel, Mark H Schiff
Hearing Site: Boca Raton, FL
Checkmark Icon$0
19-0041511/18/2021Claimant(s): Craig Price
Claimant Lawyers(s): Neil L. Henrichsen
Respondent(s): Raymond Klahne, William Gilcher
Respondent Lawyers(s): Julie I. Taylor
Arbitrator(s): Warren D. Brown, Sidney J. Wartel, Marie Katz
Hearing Site: Boca Raton, FL
18-0381609/27/2021Claimant(s): Elizabeth Snyder, Linkster Holding, Elizabeth Snyder IRA, Elizabeth B. Snyder Revocable Trust
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Barry Snyder, Montecito Advisors.
Respondent Lawyers(s): Elie Genadry, Neil S. Baritz
Arbitrator(s): Sidney J. Wartel, Andrea R. Jacobs, Stephen John Gohlke
Hearing Site: Boca Raton, FL
Checkmark Icon$2,554,900
18-0082211/26/2019Claimant(s): Barbara DeMary, Joseph Ehritz, Lee DeMary, Leo Mazotas, Marianne Ehritz, Michael Simmons, Sid Haffener
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Charles Schwab & Co.., Scottrade Inc., TD Ameritrade.
Respondent Lawyers(s): Gregory M. Scanlon, James J. Vihstadt
Arbitrator(s): Sidney J. Wartel, Denise Morris Hammond, Tyrone Nathaniel Watson
Hearing Site: Orlando, FL
Checkmark Icon$0
18-0021507/10/2019Claimant(s): Linda Imperia, Luigi Imperia
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Marsha Matson, Stanley Zamor, Sidney J. Wartel
Hearing Site: Miami, FL
Checkmark Icon$0
18-0347904/08/2019Claimant(s): Alejandro Mendieta
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Sidney J. Wartel
Hearing Site: Miami, FL
18-0075610/17/2018Claimant(s): Ana Romeu Villanueva
Claimant Lawyers(s): Alfonso Fernandez
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara L. Velez Santiago
Arbitrator(s): Sidney J. Wartel
Hearing Site: San Juan, PR
Checkmark IconDismissed by Rule 12206
17-0052208/28/2018Claimant(s): Revocable Trust of Samuel M. Fineman
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Michael Coraggio, Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Leonard Michael Cusano, Sidney J. Wartel, John Rinaldi
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
16-0182905/23/2018Claimant(s): Bonnie Kaplan IRA, Eric Kaplan and Bonnie Kaplan JTWROS, E.Kaplan Ttee Multidisc.Bus. App. 401(k)
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Cory S. Zadanosky
Arbitrator(s): Richard J. Kaplan, Michael J. Quarequio, Sidney J. Wartel
Hearing Site: Boca Raton, FL
Checkmark Icon$862,117
16-0093108/08/2017Claimant(s): Gregg A. Kiken Trust U/A DTD 11/21/2001, Linda G. Kiken Trust U/A DTD 11/21/2001
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Advisors, Russell Blum
Respondent Lawyers(s): Patricia E. Cowart, Russell Blum
Arbitrator(s): Steven Gerard Goerke, Sidney J. Wartel, Toby Bartosh
Hearing Site: Boca Raton, FL
Checkmark IconExpungement

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