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FINRA Awards for James Dy

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0163603/08/2022Claimant(s): James Dy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
20-0142601/13/2021Claimant(s): James Dy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Robert E. Anderson
Hearing Site: Jersey City, NJ

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