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FINRA Awards for Richard W. Dissen

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Displaying 10 out of 44 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0280705/20/2024Claimant(s): Nicholas Efthemis
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Dissen
Hearing Site: Buffalo, NY
22-0289301/17/2024Claimant(s): Daniel Walter
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Richard W. Dissen
Hearing Site: Buffalo, NY
Checkmark IconExpungement
23-0004712/06/2023Claimant(s): Tastyworks.
Claimant Lawyers(s): Thomas G. Haskins
Respondent(s): Mehran Khavarian
Respondent Lawyers(s): Mehran Khavarian
Arbitrator(s): Richard W. Dissen
Hearing Site: Montpelier, VT
Checkmark Icon$0
23-0090509/29/2023Claimant(s): Jeffrey Schultz
Claimant Lawyers(s): Joel Everest
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Richard W. Dissen
Hearing Site: Louisville, KY
22-0271406/21/2023Claimant(s): James Alonge
Claimant Lawyers(s): James A. Alonge
Respondent(s): Gregory Romes
Respondent Lawyers(s): David Markun
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
Checkmark Icon$213
20-0395505/17/2023Claimant(s): Isabelita Wijangco, Isabelita Wijangco IRA, Isabelita Wijangco Revocable Trust
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Richard W. Dissen
Hearing Site: Louisville, KY
Checkmark IconExpungement
22-0037201/13/2023Claimant(s): Allan Norris, Carol Norris, The Carol D. Norris Estate Planning
Claimant Lawyers(s): Meghan L. McElligott
Respondent(s): Kovack Securities Inc
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Richard W. Dissen
Hearing Site: Columbus, OH
Checkmark IconExpungement
21-0020412/22/2022Claimant(s): Carol Boogher, Joel Boogher
Claimant Lawyers(s): Joseph C. Korsak
Respondent(s): Michael Nigro, MML Investors Services
Respondent Lawyers(s): Barry Temkin, Julie E. Ravis
Arbitrator(s): Richard W. Dissen, Michael D. McDowell, Mary Kathleen Mackey
Hearing Site: Pittsburgh, PA
Checkmark IconExpungement
22-0177012/09/2022Claimant(s): Michael Walters
Claimant Lawyers(s): Michael Walters
Respondent(s): Ally Invest Securities LLC
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
Checkmark Icon$0
21-0246909/21/2022Claimant(s): Guy Deemer
Claimant Lawyers(s): Brian Luther
Respondent(s): Oppenheimer & Co.., Stifel, Nicolaus & Co..
Respondent Lawyers(s): John T. McGuire, Lauren Beekman
Arbitrator(s): Richard W. Dissen, John J. Neely, David Michael Stabile
Hearing Site: Pittsburgh, PA

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