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FINRA Awards for Madelon M. Rosenfeld

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Displaying 31-40 out of 42 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0358808/05/2014Claimant(s): Allyson Silverman, Glenn Edelman
Claimant Lawyers(s): August Iorio
Respondent(s): UBS Financial Services Inc., Morgan Stanley
Respondent Lawyers(s): A.J. Borelli, Christine A. Kendrick
Arbitrator(s): Madelon M. Rosenfeld, Mary Lou McGanney, Amy Jill Baranoff
Hearing Site: New York, NY
Checkmark IconExpungement
11-0180706/06/2013Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Peter Mullen
Respondent Lawyers(s): Daniel J. Dwyer
Arbitrator(s): Madelon M. Rosenfeld, Martin Hunger, Ivan W. Harper
Hearing Site: New York, NY
11-0384204/08/2013Claimant(s): Frank Papa
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Saverio J. Cina, Madelon M. Rosenfeld, Laura Carraher
Hearing Site: New York, NY
Checkmark IconExpungement
11-0371402/25/2013Claimant(s): John Joyce
Claimant Lawyers(s): Andrew J. Bernstein
Respondent(s): Standard Credit Securities Inc.
Respondent Lawyers(s): Chaim A. Levin
Arbitrator(s): Madelon M. Rosenfeld, Paul Kanischak, Gregory J. Getz
Hearing Site: New York, NY
10-0516703/27/2012Claimant(s): Carmine Aufiero, Claudia Aufiero
Claimant Lawyers(s): Carole R. Bernstein
Respondent(s): Chester Payne, Hayes Brown, Jennifer Holloman, Triad Advisors.
Respondent Lawyers(s): Hayes Samuel Brown, Jennifer Anne Holloman, Mark J. Astarita
Arbitrator(s): Jack Friedman, John A. Astorina, Madelon M. Rosenfeld
Hearing Site: New York, NY
Checkmark Icon$250,300
10-0237211/25/2011Claimant(s): Amy Diamond
Claimant Lawyers(s): David S. Richan
Respondent(s): John Loofbourrow, John W. Loofbourrow Associates
Respondent Lawyers(s): William M. Dellicato
Arbitrator(s): Henry Tiffany, Madelon M. Rosenfeld, Robert S. Clemente
Hearing Site: New York, NY
09-0284912/03/2010Claimant(s): Douglas Bryant, Fabrice Haddad
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): The Royal Bank of Scotland, RBS Greenwich Capital
Respondent Lawyers(s): Keith A. Markel
Arbitrator(s): Madelon M. Rosenfeld, Jeffrey I. Kahn, Peter A. Seibel
Hearing Site: New York, NY
09-0108109/01/2009Claimant(s): William Formon and Kimberly A. Formon
Claimant Lawyers(s): William Formon
Respondent(s): Charles Schwab, Evelyn Dilsaver, George Pereira, Charles Schwab & Co.., Randall Merk, Charles Schwab Investment Management, Schwab Investments., The Charles Schwab Corporation
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
Checkmark Icon$11,555
08-0246702/06/2009Claimant(s): Raymond Haworth
Claimant Lawyers(s): Raymond P Haworth
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Bernard Williams
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
Checkmark Icon$300
08-0124912/31/2008Claimant(s): Brendan Cooney
Claimant Lawyers(s): Sean R. Kelly
Respondent(s): BGC Financial, L.P.
Respondent Lawyers(s): Andrew M. Kofsky
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY

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