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FINRA Awards for Steven R. Rolnick

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Displaying 11-18 out of 18 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0127708/16/2017Claimant(s): R. B. Corbin, Jr. Trust
Claimant Lawyers(s): Richard B. Corbin
Respondent(s): Wells Fargo Advisors, Maiya Furgason
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Steven R. Rolnick, James R. Collins, Thomas Matthew Madden
Hearing Site: Providence, RI
Checkmark Icon$0
16-0065205/04/2017Claimant(s): Gary Masi
Claimant Lawyers(s): Adam Gana
Respondent(s): Longship Alternative Asset Management, Tradition Asiel Securities Inc.
Respondent Lawyers(s): Donald N. Cohen, Martin P. Unger
Arbitrator(s): Steven R. Rolnick, Sean Michael Peoples, Mae A. Brudner
Hearing Site: Hartford, CT
Checkmark IconDismissed by Rule 12504
12-0221212/31/2013Claimant(s): Donald Berman, Morton Klein, Berman Klein Realty Association
Claimant Lawyers(s): Jeffrey Wittenberg
Respondent(s): Eric Lusk, Cantella & Co.., Harborview Investments
Respondent Lawyers(s): Robert L. Herskovits
Arbitrator(s): Steven R. Rolnick, John Charles Kovarik, John D. Liberator
Hearing Site: Hartford, CT
Checkmark Icon$0
10-0552301/31/2012Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Angelo Carlone
Respondent Lawyers(s): Andrew W. Krevolin
Arbitrator(s): Steven R. Rolnick, Harry N. Mazadoorian, James J. Gadarowski
Hearing Site: Hartford, CT
10-0492604/27/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Khairi Abdur-Rahman
Respondent Lawyers(s): Khairi Dwayne Abdur-Rahman
Arbitrator(s): Steven R. Rolnick
Hearing Site: Boston, MA
09-0117909/28/2010Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Tricia Landry
Respondent Lawyers(s): Brian D. Rich
Arbitrator(s): Roger L. Crossland, Steven R. Rolnick, Jack B. Golden
Hearing Site: Hartford, CT
08-0077306/24/2009Claimant(s): Natalie Bram, Natalie Bram Living Trust
Claimant Lawyers(s): Theodore M. Davis
Respondent(s): Baruch Coleman, Jerry Cline, Capital Securities of America., Wunderlich Securities.
Respondent Lawyers(s): Baruch Coleman, Steven E. Mellen
Arbitrator(s): David Ellis, Steven R. Rolnick, C. Henry Lucas
Hearing Site: Hartford, CT
Checkmark Icon$228,200
07-0131101/03/2008Claimant(s): William B. and Mary Connolly
Claimant Lawyers(s): Theodore M. Davis
Respondent(s): Victoria Tomaro, TFS Securities.
Respondent Lawyers(s): Russell Burnside
Arbitrator(s): Dale S. Cronnell, Steven R. Rolnick, Thomas C. Tretter
Hearing Site: Hartford, CT
Checkmark Icon$0

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