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FINRA Awards for H. Steven Holtzman

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0159401/14/2015Claimant(s): Barbara Arno, Michael Arno
Claimant Lawyers(s): John A. Hubbard
Respondent(s): LPL Financial LLC, Rob Baitinger
Respondent Lawyers(s): Michael Regan
Arbitrator(s): H. Steven Holtzman
Hearing Site: Tampa, FL
Checkmark Icon$600
10-0031205/23/2012Claimant(s): Frances Minneci, Philip Minneci
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney M. Krosse
Arbitrator(s): H. Steven Holtzman
Hearing Site: Tampa, FL
Checkmark IconStipulated Award
11-0185911/25/2011Claimant(s): Gerald Ohalloran
Claimant Lawyers(s): Gerald J. O'Halloran
Respondent(s): Walter Vazquez
Respondent Lawyers(s): Walter Vazquez
Arbitrator(s): H. Steven Holtzman
Hearing Site: Tampa, FL

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