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FINRA Awards for Gladys Mond

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0225612/18/2015Claimant(s): Estate of Frances Lagano
Claimant Lawyers(s): Frank Lagano
Respondent(s): Ardell Roan, George Manuelian, John Serocke, Joseph Calcagno, Morgan Stanley
Respondent Lawyers(s): Joseph Vincent Calcagno, Thomas P. Briody
Arbitrator(s): Michelle Jacobowitz Gallagher, Joanne Basso Mack, Gladys Mond
Hearing Site: New York, NY
Checkmark IconExpungement
12-0292511/13/2015Claimant(s): Lettita Bollon, Richard Bollon, NFS/FMTC Rollover IRA-FBO Richard J. Bol, Richard J. Bollon DDS PC, Richard J. Bollon TTEE, Richard J. Bollon PSP
Claimant Lawyers(s): James G. Marsh
Respondent(s): Stanley Brooks, Brookstreet Securities Corporation, Troy Gagliardi
Respondent Lawyers(s): Sam Silverstein, Troy L. Gagliardi
Arbitrator(s): Richard W. Cutler, Anita Sippy, Gladys Mond
Hearing Site: New York, NY
Checkmark Icon$0
12-0262207/11/2013Claimant(s): Anthony Esposito, Brian Esposito, Cynthia Esposito, Joanne Esposito, Lisa Brown
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Kevin Brennan, Morgan Stanley
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): David I. Goldblatt, Leslie Ruth Nydick, Gladys Mond
Hearing Site: New York, NY
Checkmark Icon$0

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