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FINRA Awards for Halen Capital

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0299903/01/2018Claimant(s): Andrew Lewis, Thomas Marshburn
Claimant Lawyers(s): Stephen J. Wein
Respondent(s): Halen Capital, Halen Capital Management., Halen Capital.
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Jacquelyn M. Shannon, Martin M. Van Luven, Richard Manuel Barcia
Hearing Site: Tampa, FL
15-0076312/10/2015Claimant(s): Halen Capital
Claimant Lawyers(s): Peter J. Aldrich
Respondent(s): Christopher Gimblet
Respondent Lawyers(s): Christopher John Gimblet
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL

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