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FINRA Awards for Genworth Financial Securities Corporatio

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0379710/28/2010Claimant(s): Hermon Smith, Rosemary Smith
Claimant Lawyers(s): Andrew O. Whiteman
Respondent(s): Genworth Financial Securities Corporatio
Respondent Lawyers(s): Melanie Black Dubis
Arbitrator(s): Leon Henderson, Thomas W. Allen, John Edward Mango
Hearing Site: Raleigh, NC
Checkmark Icon$179,132
08-0008606/30/2009Claimant(s): Peter Ramos and Karen Ramos
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): Genworth Financial Securities Corporatio
Respondent Lawyers(s): Richard D. De Vita
Arbitrator(s): Alan Shaw, Philip Rachmelowitz, Stephen L. Lister
Hearing Site: New York, NY
Checkmark IconStipulated Award and Expungement

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