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FINRA Awards for Theodore G. Eppenstein

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0059808/15/2013Claimant(s): Serge Nahas
Claimant Lawyers(s): Theodore G. Eppenstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): David Finnegan, Keely D. Parr, Linda J. Baer, Michael F. Spellman
Hearing Site: New York, NY
09-0215505/26/2011Claimant(s): Cleveland Currie, Maria Currie
Claimant Lawyers(s): Theodore G. Eppenstein
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Thomas E. Duggan, Arthur Neil Tolciss
Hearing Site: New York, NY
Checkmark Icon$0
05-0157703/25/2011Claimant(s): Bounty International Limited, Good Regent International Limited, Wisdom Century Development Limited
Claimant Lawyers(s): Theodore G. Eppenstein
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Michael J. Dell
Arbitrator(s): Joel P. Mellis, Mindi R. Parrott
Hearing Site: New York, NY
Checkmark Icon$0
06-0167409/04/2007Claimant(s): Mark Quale
Claimant Lawyers(s): Theodore G. Eppenstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carol B. Trask
Arbitrator(s): Marc Kalish, Beryl I. Dulsky, Denis Frank
Hearing Site: Phoenix, AZ

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