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FINRA Awards for David Spratt

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0163001/11/2022Claimant(s): David Spratt
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Alexander Capital, L.P.
Respondent Lawyers(s): Rocco Guidicipierto
Arbitrator(s): Dora M. Lassinger, Gerald M. Levine, Judith C. Aarons
Hearing Site: New York, NY
18-0398412/04/2020Claimant(s): Larry Schmalz, Robin Schmalz
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): David Spratt, Joseph Amato, Kujtim Lulani, Michael Castillero, Rocco Guidicipietro, Thomas Sullivan, Alexander Capital, L.P.
Respondent Lawyers(s): Lawrence R. Gelber, Scott Holcomb
Arbitrator(s): Royce Russell, Gerald M. Levine, Peter E. Gillespie
Hearing Site: New York, NY
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