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FINRA Awards for Syracuse, NY

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Displaying 10 out of 65 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0170211/11/2024Claimant(s): Christine Mendzef
Claimant Lawyers(s): Harris Freedman
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): John Francis Markuns
Hearing Site: Syracuse, NY
24-0134609/20/2024Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Michael E. Rowe
Respondent(s): Joseph Tiderencel
Respondent Lawyers(s): Joseph Michael Tiderencel
Arbitrator(s): Jim Geiger
Hearing Site: Syracuse, NY
23-0104011/16/2023Claimant(s): Ann Connelly
Claimant Lawyers(s): Ann M. Connelly
Respondent(s): Ronald Bernheim
Respondent Lawyers(s): Ronald Jack Bernheim
Arbitrator(s): Robert J. Scafuri
Hearing Site: Syracuse, NY
Checkmark Icon$425
21-0138405/10/2023Claimant(s): Joseph Caldwell
Claimant Lawyers(s): Joseph D. Caldwell
Respondent(s): Anjani Prabhu, Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Michael A. Orticelle
Hearing Site: Syracuse, NY
Checkmark IconExpungement
22-0127303/14/2023Claimant(s): Joseph Mrozienski
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Michael W. Arnold
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Syracuse, NY
22-0164902/16/2023Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): James V. Noblett
Respondent(s): Frank Weiss
Respondent Lawyers(s): Frank Corey Weiss
Arbitrator(s): Michael J. Meeusen
Hearing Site: Syracuse, NY
22-0024212/19/2022Claimant(s): Gregory McLean
Claimant Lawyers(s): Stuart E. Finer
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Greg Curley, Esq.
Arbitrator(s): Ira A. Auerbach
Hearing Site: Syracuse, NY
22-0165412/15/2022Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): Gregory M. Curley
Respondent(s): David Huhtala
Respondent Lawyers(s): David Andrew Huhtala
Arbitrator(s): Robert J. Scafuri
Hearing Site: Syracuse, NY
22-0050410/17/2022Claimant(s): Chris Miller
Claimant Lawyers(s): Chris Miller
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Kenneth Dymond
Hearing Site: Syracuse, NY
Checkmark Icon$0
17-0123808/15/2022Claimant(s): Robert Little
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Andrew Drago, Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Robert J. Scafuri, John James McGovern, Walter Meagher
Hearing Site: Syracuse, NY
Checkmark Icon$0

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