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FINRA Awards for Aura Financial Services.

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Displaying 9 out of 9 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0260112/30/2013Claimant(s): Robert Peyser
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): Laurence Briggs, Lawrence Kirshbaum, Timothy Gautney, William Chapman, Alexander Capital Markets, Alexander Financial, Aura Financial Services., Investin Securities Corp., Prestige Financial Center.
Respondent Lawyers(s): Laurence Briggs, Lawrence Kirshbaum, Legal Department, Timothy Gautney, William Chapman
Arbitrator(s): Jeffrey R. Roth, Louis David Huss, Robert Charles Stamm
Hearing Site: Miami, FL
Checkmark Icon$1,722,330
11-0274705/21/2013Claimant(s): Timothy Gautney, Aura Asset Management., Aura Financial Services.
Claimant Lawyers(s): John G Dana
Respondent(s): James Webb, Cape Securities Inc.
Respondent Lawyers(s): Judy A. Newcomb, Ronald M. Amato
Arbitrator(s): Lita S Menkin, Cherie J. Jolly, Charles M. Thompson
Hearing Site: Birmingham, AL
11-0382308/07/2012Claimant(s): Bruce Zaret
Claimant Lawyers(s): Bruce Zaret
Respondent(s): Aura Financial Services.
Respondent Lawyers(s): John Woodruff
Arbitrator(s): Arnold Wagner, Jeffery A. Hamer, Stephen Martin Friedberg
Hearing Site: New York, NY
09-0424412/29/2010Claimant(s): Jeffrey Haugh, Linda Haugh, AAA Consulting, Mid-Atlantic Anesthesia, P.A., Jeffrey T. Haugh and Linda Haugh
Claimant Lawyers(s): Mark M. Dumler
Respondent(s): Aura Financial Services., Harvard Funding Group., Westpark Capital.
Respondent Lawyers(s): John Woodruff, Richard Kraut
Arbitrator(s): Richard E. Lauziere, Robert T. Reeves, Alan Robert Malasky
Hearing Site: Baltimore, MD
Checkmark Icon$585,000
09-0542306/17/2010Claimant(s): James Kane and Agnes Kane
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Aura Financial Services.
Respondent Lawyers(s): John Woodruff
Arbitrator(s): Ann Pinciss Berman
Hearing Site: New York, NY
Checkmark Icon$25,000
08-0392111/09/2009Claimant(s): Ronald Hardy
Claimant Lawyers(s): Howard E. Greenberg
Respondent(s): Thomas Zulkowsky, Aura Financial Services.
Respondent Lawyers(s): Glenn M. Salvo, John Woodruff, Jr. Compliance
Arbitrator(s): Kathryn J. Hoy, Christine C. DeMoss, Jeffrey W. Jacobs
Hearing Site: Minneapolis, MN
Checkmark Icon$115,923
09-0094711/09/2009Claimant(s): Thomas Zulkosky
Claimant Lawyers(s): J. Jackson
Respondent(s): Ronald Hardy, Aura Financial Services.
Respondent Lawyers(s): Howard E. Greenberg, John Woodruff, Jr. Compliance
Arbitrator(s):
Hearing Site: Minneapolis, MN
Checkmark Icon$115,923
08-0385207/08/2009Claimant(s): Peter Dunne
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Aura Financial Services.
Respondent Lawyers(s): Leon Baer Borstein
Arbitrator(s): Richard W. Cutler, James S. Goddard, Gerald H. Grayson
Hearing Site: New York, NY
07-0121011/18/2008Claimant(s): Aura Financial Services.
Claimant Lawyers(s): David H. Lichter
Respondent(s): Dipin Mala, Eric Blum, Harsh Jayaswal, Irving Burstein, Ivan Angulo, Kamlesh Lalwani, Nitin Bahirwani, Niyukt Bhasin, Rohit Khemka, Sandeep Singh, Shondeep Balchandani, Sidhar Dhawan, Timothy Gautney, NSM Securities.
Respondent Lawyers(s): David H. Lichter, Harry J. Delagrammatikas
Arbitrator(s):
Hearing Site: Boca Raton, FL

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