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FINRA Awards for Dan Brecher

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Displaying 7 out of 7 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0133101/22/2020Claimant(s): Jean-Matthieu Josse
Claimant Lawyers(s): Gregg J Breitbart
Respondent(s): A.G.P. / Alliance Global Partners, Aegis Capital Corp.
Respondent Lawyers(s): John Hitchings, Robert H. Decker
Arbitrator(s): Dan Brecher
Hearing Site: New York, NY
15-0297206/17/2019Claimant(s): Kyrill Firshein
Claimant Lawyers(s): John D. Singer
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Leni D. Battaglia
Arbitrator(s): Dan Brecher, Mary Julia O'Connell, Candi Marie Halbert
Hearing Site: New York, NY
17-0232303/15/2019Claimant(s): Frank Wong
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Dan Brecher, Domitilia M. dos Santos, Simone A. Muscarnera
Hearing Site: New York, NY
17-0155008/28/2018Claimant(s): Kimberly Ambrosio, Luigi Ambrosio, Rose Marie Ambrosio
Claimant Lawyers(s): David J. Sutton
Respondent(s): Ladenburg Thalmann & Co. Inc., Ladenburg Thalmann Asset Management
Respondent Lawyers(s): Michael D. Handelsman
Arbitrator(s): Dan Brecher, Roy Lukins Rowsell, Gerald M. Levine
Hearing Site: New York, NY
Checkmark IconExpungement
13-0359507/11/2018Claimant(s): EFCO Products Defined Contribution, EFCO Products Defined Contribution Union, EFCO Products Profit Sharing/401(K) Plan
Claimant Lawyers(s): Sandra P. Lanhens
Respondent(s): Candace Weir, C. L. King & Associates.
Respondent Lawyers(s): Christopher Robertson, Richard A. Roth
Arbitrator(s): Dan Brecher, Daniel Robbins, Annamaria Boccia Smith
Hearing Site: New York, NY
Checkmark Icon$0
16-0162411/01/2017Claimant(s): Westport Resources Management.
Claimant Lawyers(s): Richard Slavin
Respondent(s): Christopher DeLaura, Fieldpoint Private Securities, Westport Resources Investment Services
Respondent Lawyers(s): Jonathan C. Thau, Richard Slavin
Arbitrator(s): Dan Brecher, Larry Kars, Randolph Guggenheimer
Hearing Site: New York, NY
09-0471607/16/2012Claimant(s): Alan Hunt, Kenneth Casey, Michael Cappa, Scott Siemers, Estate of Ronald Hal Davis
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): Guggenheim Capital Markets
Respondent Lawyers(s): Patrick C. Harrigan
Arbitrator(s): Dan Brecher, Joseph B. Russell, Alice Holly Oshins
Hearing Site: New York, NY

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