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FINRA Awards for Jerome F. Crotty

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0255809/22/2023Claimant(s): Michael Mcintyre
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Jerome F. Crotty, Henry G. Nothnagel, Steven H. Vogel
Hearing Site: Chicago, IL
20-0206702/01/2021Claimant(s): Peter Schallmoser
Claimant Lawyers(s): Peter A. Schallmoser
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Jerome F. Crotty, Thomas P. Valenti, Alicia Hilton
Hearing Site: Chicago, IL
17-0272804/29/2020Claimant(s): Audrey Niehoff
Claimant Lawyers(s): Laurence Landsman
Respondent(s): Jeffrey Berenson, Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers, Jr
Arbitrator(s): Jerome F. Crotty, Raymond P. Buschmann, Marcia Bonita Gevers
Hearing Site: Chicago, IL
Checkmark IconDismissed by Rule 12206/12504
13-0198107/21/2015Claimant(s): David Turza, Erin Turza as custodian for Lauren Turza, Erin Turza as custodian for Samantha Tur
Claimant Lawyers(s): Laurence M. Landsman, Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors, UBS Financial Services Inc., Richard Ceffalio
Respondent Lawyers(s): Angela A. Turiano, Michael Naccarato, Stephany D. McLaughlin
Arbitrator(s): Jerome F. Crotty, Lynn Hirschfeld Brahin, Raymond P. Buschmann
Hearing Site: Chicago, IL
Checkmark IconExpungement
13-0018802/21/2014Claimant(s): Ghaleb Azroui
Claimant Lawyers(s): Ghaleb K Azroui
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): John E. Parkes, G. Gale Roberson, Jerome F. Crotty
Hearing Site: Chicago, IL
Checkmark Icon$0
11-0430504/26/2013Claimant(s): Ninos Andrews
Claimant Lawyers(s): Jonathan M Cyrluk
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Rachel B. Cowen
Arbitrator(s): Jerome F. Crotty, Jonathan Gorman Cook, Michael S. Jordan
Hearing Site: Chicago, IL
11-0417102/14/2013Claimant(s): Victoria Ross
Claimant Lawyers(s): Victoria W. Ross
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Jerome F. Crotty, Susan S. Hickel, Susanne J. Hollander
Hearing Site: Chicago, IL
07-0036602/11/2009Claimant(s): Griffin, Kubik, Stephens & Thompson
Claimant Lawyers(s): Steven P. Gomberg
Respondent(s): James Kubik, Jill Rottman, John Tofilon, Kent Atkinson, Morgan Stanley DW Inc., Maria Tornga
Respondent Lawyers(s): Christopher M. Burky, Howard B. Iwrey, Steven P. Gomberg
Arbitrator(s): Jerome F. Crotty, Robert J. Larson, Mitchell Lee Marinello
Hearing Site: Chicago, IL

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