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FINRA Awards for Daniel Rosenberg

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0115009/01/2016Claimant(s): Daniel Rosenberg
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Steven R. Reininger, Stephen Kahane, David Rich
Hearing Site: Boca Raton, FL
14-0352309/25/2015Claimant(s): Daniel Rosenberg
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Stacey N. Schmidt
Arbitrator(s): Richard W. Epstein, David E. Mowry, Andrew Jay Kohan
Hearing Site: Boca Raton, FL

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