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FINRA Awards for Matthew C. Applebaum

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0412909/20/2011Claimant(s): Nua Shala, ARI International., ORA Business Services.
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Silva
Respondent Lawyers(s): Matthew C. Applebaum, Robert Scott Silva
Arbitrator(s): Vicki Z. Holleman, Judith Fields Jurney, Lincoln W. Craighead
Hearing Site: New York, NY
Checkmark Icon$0
09-0218810/07/2010Claimant(s): John Patience, The John Patience Trust
Claimant Lawyers(s): James L. Kopecky, Kevin M. Flynn
Respondent(s): Jefferies & Company., Jefferies Investment Advisers
Respondent Lawyers(s): Matthew C. Applebaum
Arbitrator(s): John K. Notz, Henry G. Nothnagel, Samuel B. Garber
Hearing Site: Chicago, IL
Checkmark Icon$0
08-0056803/20/2009Claimant(s): The TTees of the Masonic Hall and Asylum
Claimant Lawyers(s): Brian J. Butler
Respondent(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew C. Applebaum
Arbitrator(s): Brian J. Burstin, Dale S. Cronnell, John Richard Lynch
Hearing Site: Albany, NY
Checkmark Icon$30,600,600
06-0450207/01/2008Claimant(s): Janet MacLean
Claimant Lawyers(s): Paul M. Glickman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Matthew C. Applebaum
Arbitrator(s): Mary C. Kelleher
Hearing Site: Boston, MA

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