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FINRA Awards for Randolph Guggenheimer

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Displaying 11-14 out of 14 results
Case Number Award Date Case Summary Customer Case? Amount Granted
07-0169210/07/2009Claimant(s): Jiann Ming Doong and Angela Wang
Claimant Lawyers(s): Richard Alan Chen
Respondent(s): Morgan Stanley & Co., Thomas Tishman
Respondent Lawyers(s): John L. Castelly
Arbitrator(s): David S. Billet, Cynthia A. DiMarco, Randolph Guggenheimer
Hearing Site: New York, NY
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08-0214504/23/2009Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Frank Kim
Respondent Lawyers(s): Michael A. Smeader
Arbitrator(s): Anthony Vitanza, Randolph Guggenheimer, Alan Kenneth Scheff
Hearing Site: Buffalo, NY
06-0430811/07/2008Claimant(s): Andrew Garrett.
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Alan Underberg, Ernest Silano, Robert Rosen, Vincent Ficci, Bishop, Rosen & Co..
Respondent Lawyers(s): David A. Schrader, Eugene M. Underberg, Martin S. Siegel, Vincent C. Ficci
Arbitrator(s): Donald Ferguson, Randolph Guggenheimer, Roy L. Weiss
Hearing Site: New York, NY
07-0291006/06/2008Claimant(s): Howard Yee
Claimant Lawyers(s): Alan E. Wolin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Marcie Mintz
Arbitrator(s): Barry Feiden, Camille S. Cooper, Randolph Guggenheimer
Hearing Site: New York, NY

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