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FINRA Awards for James Moniz

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0276002/10/2023Claimant(s): James Moniz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Signator Investors.
Respondent Lawyers(s): Justin Sacca
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
18-0128901/11/2019Claimant(s): Joseph Menice
Claimant Lawyers(s): Keith A. Macdonald
Respondent(s): James Moniz
Respondent Lawyers(s): Peter F. Flynn
Arbitrator(s): Richard J. Grahn, Barry J. Rubenstein, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
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17-0123511/07/2017Claimant(s): James Moniz
Claimant Lawyers(s): Peter F. Flynn
Respondent(s): Essex Securities LLC
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Arthur J. Giacomarra
Hearing Site: Boston, MA

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