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FINRA Awards for Mark E. Hollern

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0369407/09/2018Claimant(s): Joan Cassidy, Robert Cassidy
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): The Investment Center.
Respondent Lawyers(s): Denis Dice
Arbitrator(s): Guillermo L. Bosch, Mark E. Hollern, Allen M. Kerpan
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
14-0190804/08/2015Claimant(s): Christine DiJullia, Daniel Alampi
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Richard N. Kelmans, Mark E. Hollern, Joseph H. Danziger
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
10-0454406/14/2012Claimant(s): Lewis Shupe
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julita Kargol
Arbitrator(s): Mark E. Hollern, Demetrio S. Timban, John E. Felch
Hearing Site: Philadelphia, PA
Checkmark IconExpungement

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