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FINRA Awards for John Clark Van Steen

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0221606/07/2018Claimant(s): Ari Baum
Claimant Lawyers(s): Sharron E. Ash
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Daniel Robbins, Stephen A. Weiner, John Clark Van Steen
Hearing Site: New York, NY
14-0106710/21/2014Claimant(s): John Parmigiani
Claimant Lawyers(s): Ian J. Frimet
Respondent(s): S.W. Bach & Company
Respondent Lawyers(s): Scott Shapiro
Arbitrator(s): Annamaria Boccia Smith, John Clark Van Steen, James Alexander Brown
Hearing Site: New York, NY
10-0519211/04/2011Claimant(s): CIBC World Markets Corp.
Claimant Lawyers(s): Lloyd S. Clareman
Respondent(s): Stanley Stern
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Ellyn S. Roth, Terrance J. Nolan, John Clark Van Steen
Hearing Site: New York, NY

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