FINRA Awards for National Securities Corporation

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 41-50 out of 152 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
22-00514	01/09/2023	Claimant(s): Eric Lyon Claimant Lawyers(s): Harris Freedman Respondent(s): JWGenesis Securities., National Securities Corporation, Wells Fargo Advisors Financial Network Respondent Lawyers(s): Emily A. Hayes, Michael Naccarato Arbitrator(s): Louis David Huss Hearing Site: Boca Raton, FL
20-02401	12/23/2022	Claimant(s): Ramakrishna Chav MD PA, for its 401Ks, Ramakrishna Chava MD PA, for its PSP, Ramakrishna Chava, for his Roth IRA, for his SEP IRA, Chava Family LP, a Partnership, Ramakrishna Chava as Trustee Claimant Lawyers(s): Steven D. Toskes Respondent(s): National Securities Corporation Respondent Lawyers(s): Fred Knopf Arbitrator(s): Sherry R. Wetsch, Allan R. Lazor, Lisa Lemons Hearing Site: Houston, TX		Expungement
22-01073	12/20/2022	Claimant(s): Kunal Arora Claimant Lawyers(s): Seth N. Bursky Respondent(s): National Securities Corporation Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Eva H. Posman, Herbert N. Fishman, Thomas M. Madden Hearing Site: New York, NY
22-00780	12/15/2022	Claimant(s): Matthew Harris Claimant Lawyers(s): Samantha Pastor Respondent(s): National Securities Corporation Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Edward R. Niederriter Hearing Site: Boca Raton, FL
22-00173	10/31/2022	Claimant(s): Stuart Updegrove Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): National Securities Corporation, Eastbrook Capital Group LLC Respondent Lawyers(s): Edward Sampson, Emily A. Hayes Arbitrator(s): Eugene G. P. Byrne, Mark Joseph Hyland Hearing Site: New York, NY
22-00171	10/06/2022	Claimant(s): Stuart Updegrove Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): National Securities Corporation, Eastbrook Capital Group LLC Respondent Lawyers(s): Edward Sampson, Emily A. Hayes Arbitrator(s): Richard W. Cutler, John Franklin Udochi, Adam J. Ciffone Hearing Site: New York, NY
21-03037	08/18/2022	Claimant(s): Barbra Shaffer Claimant Lawyers(s): Brandon M. Taaffe Respondent(s): National Securities Corporation Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Kimberly A. Gilmour, Rosemarie Ann Jannuzzi, John S. Leech Hearing Site: Boca Raton, FL
22-00054	08/17/2022	Claimant(s): Robert Rotunno Claimant Lawyers(s): Christopher D. Warren Respondent(s): National Securities Corporation Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Seth T. Taube, Evdokia Sofos, Ellyn S. Roth Hearing Site: New York, NY
20-03829	07/21/2022	Claimant(s): Rahul Deepankar Claimant Lawyers(s): Richard B. Fosher Respondent(s): National Securities Corporation Respondent Lawyers(s): Fred N. Knopf Arbitrator(s): Stuart D. Summers, Daniel R. Formeller, Philip J. Glick Hearing Site: Chicago, IL		Expungement
20-03747	07/13/2022	Claimant(s): George McCutchen Claimant Lawyers(s): Louis D. Tambaro Respondent(s): National Securities Corporation Respondent Lawyers(s): Fred N. Knopf Arbitrator(s): F. John Herrmann, Barbara Black, Theodore Haynes Hearing Site: Columbia, SC