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FINRA Awards for Wellington Shields & Co.

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0427609/26/2019Claimant(s): Edward Trieber
Claimant Lawyers(s): Barry Bordetsky
Respondent(s): Edward Herbst, Wellington Shields & Co.
Respondent Lawyers(s): Neil A. Sussman
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
Checkmark Icon$0
16-0287812/14/2017Claimant(s): Anthony Morello, Donna Morello
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): Wellington Shields & Co.
Respondent Lawyers(s): Neil A. Sussman
Arbitrator(s): Catherine Stewart, Martin R. Cramer, Peter L. Michaelson
Hearing Site: Newark, NJ
Checkmark Icon$0
14-0285212/01/2016Claimant(s): Omega Facility Services Solutions Surety
Claimant Lawyers(s): Brandon S. Steele
Respondent(s): Edward Herbst, Wellington Shields & Co.
Respondent Lawyers(s): Neil A. Sussman
Arbitrator(s): Thomas H. Barnard, Christopher M. McMurray, John C. Aten
Hearing Site: Charleston, WV
Checkmark Icon$0
12-0073305/06/2014Claimant(s): Anthony Averett
Claimant Lawyers(s): Steven M. Green
Respondent(s): Guy Ule, Wellington Shields & Co.
Respondent Lawyers(s): Neil A. Sussman
Arbitrator(s): Laura Carraher, Martin A. Edelstein, Linda J. Baer
Hearing Site: New York, NY
Checkmark Icon$130,000

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