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FINRA Awards for Thomas Pfeiffer

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0006611/05/2013Claimant(s): Andrew Garrett Inc.
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Thomas Pfeiffer
Respondent Lawyers(s): Thomas Steven Pfeiffer
Arbitrator(s): Edward Baer, Allen H. Green, Carolyn A. Mann
Hearing Site: New York, NY
10-0307202/14/2011Claimant(s): Financial Network Investment Corporation
Claimant Lawyers(s): Elizabeth Schmid
Respondent(s): Thomas Pfeiffer
Respondent Lawyers(s): Thomas S. Pfeiffer
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY

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