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FINRA Awards for Richard A Compisi

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0564103/18/2011Claimant(s): Andrew Michalak
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Salvatore Capizzi, Sewell Frey, American Investors Company, Dunham & Associates Investment Counsel, Dunham Trust Company
Respondent Lawyers(s): Joseph D. Edmondson, Stephen B. Stern, Theodore C. Peters
Arbitrator(s): Richard A Compisi, Gordon M. Wase, Brenda J. Stovall
Hearing Site: Baltimore, MD
Checkmark Icon$2,702,800
09-0285308/17/2010Claimant(s): Richard Osman
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): James Weslow, Richard Plant
Respondent Lawyers(s): Edward E. Sharkey
Arbitrator(s): Richard A Compisi, Gordon M. Wase, Thomas E. Maloney
Hearing Site: Baltimore, MD

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