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FINRA Awards for Thomas Carroll

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0253507/29/2019Claimant(s): Michael Haas
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Thomas Carroll, Summit Investment Management, LTD.
Respondent Lawyers(s): Brandon Gutschow
Arbitrator(s): Jerry D. McCormack, Lynn Hirschfeld Brahin, Jessica Gibson
Hearing Site: Milwaukee, WI
Checkmark Icon$100,000
14-0023209/14/2015Claimant(s): Simon Haberman, 251 CPW Housing, The Simon V. Haberman Revocable Trust
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Thomas Carroll
Respondent Lawyers(s): Thomas Edward Carroll
Arbitrator(s): Sandor I. Rabkin, Frederick J. Myers, W. Wright Danenbarger
Hearing Site: Manchester, NH
Checkmark IconExpungement

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