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FINRA Awards for Simon S. Kogan

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0298703/02/2017Claimant(s): Capital One Investing
Claimant Lawyers(s): Todd Ratner
Respondent(s): Daniel Nelson
Respondent Lawyers(s): Daniel Joseph Nelson
Arbitrator(s): Simon S. Kogan, Anthony Michael Sabino, Ariel Berschadsky
Hearing Site: New York, NY
10-0419402/08/2011Claimant(s): David Lerner Associates.
Claimant Lawyers(s): Michael G. Shannon
Respondent(s): David Asulin
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Simon S. Kogan, Harrison Johnson, Mark J. Russell
Hearing Site: New York, NY
02-0554109/13/2007Claimant(s): Gary Chan
Claimant Lawyers(s): G. Sterling Perry
Respondent(s): Traderfield Securities., Unise Investment Corp.
Respondent Lawyers(s): Christine Bae, G. Sterling Perry
Arbitrator(s): Simon S. Kogan, Barnard Seligman, John E. Shine
Hearing Site: New York, NY

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