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FINRA Awards for Boca Raton, FL

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Displaying 1,151-1,160 out of 1,334 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0247604/06/2010Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): David Frand
Respondent Lawyers(s): David N. Frand
Arbitrator(s): Theodore Kimelman
Hearing Site: Boca Raton, FL
09-0256903/26/2010Claimant(s): Chicago Investment Group
Claimant Lawyers(s): Howard J. Rosenburg
Respondent(s): Joseph Galbo
Respondent Lawyers(s): Steven M. Selz
Arbitrator(s): Guy K. Stewart
Hearing Site: Boca Raton, FL
09-0208303/25/2010Claimant(s): Cordelia Dellapina, Walter Dellapina, Walter and Cordelia Dellapina, JTWROS
Claimant Lawyers(s): Alan Foxman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Robert A. Sauerberg, Ellen J. Abrams, William G. Geisert
Hearing Site: Boca Raton, FL
Checkmark Icon$0
09-0248003/24/2010Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Bradley Sustrin
Respondent Lawyers(s): Bradley A. Sustrin
Arbitrator(s): Raymond W. Snow
Hearing Site: Boca Raton, FL
09-0200403/23/2010Claimant(s): Joseph Schuessler and Diane Schuessler
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Jill R. Yutzy
Arbitrator(s): Richard E. Conner
Hearing Site: Boca Raton, FL
Checkmark Icon$0
09-0552903/03/2010Claimant(s): Paul Geier
Claimant Lawyers(s): Leonardo Trivigno
Respondent(s): The GMS Group
Respondent Lawyers(s): John E. Jenkins
Arbitrator(s): Stanley Seidman
Hearing Site: Boca Raton, FL
Checkmark Icon$425
08-0464002/22/2010Claimant(s): Richard Lucas
Claimant Lawyers(s): Harry N. Turk
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Robert S. Natiss, Herbert Branitsky, Steven E. Eisenberg
Hearing Site: Boca Raton, FL
08-0310902/19/2010Claimant(s): Andrew Stein, Stein Holdings., Stein Investments
Claimant Lawyers(s): Caroline Smith Gidiere
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Colleen D. Hitch
Arbitrator(s): Myron S. Dunay, Paul W. Sterman, Bernice Leah Stander
Hearing Site: Boca Raton, FL
Checkmark Icon$2,500,000
08-0419602/17/2010Claimant(s): SMH Capital.
Claimant Lawyers(s): Andrew R. Harvin
Respondent(s): Louis Berkowitz
Respondent Lawyers(s): Jeffrey L. Cox
Arbitrator(s): Kalman J. Lester, Gary Paul Whorton, Eugene D. Mirabello
Hearing Site: Boca Raton, FL
09-0489802/17/2010Claimant(s): Newbridge Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Bret Shofner
Respondent Lawyers(s): Bret Nelson Shofner
Arbitrator(s): Jeffrey C. Thompson
Hearing Site: Boca Raton, FL

1,334 Results

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