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FINRA Awards for David Rich

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Displaying 11-15 out of 15 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0257906/18/2013Claimant(s): Stanley Bergenfeld
Claimant Lawyers(s): Adam T. Rabin
Respondent(s): Michael Kerper
Respondent Lawyers(s): Harvey F. Friedman
Arbitrator(s): Alice J. Johnson, David Rich, John B. Sochacki
Hearing Site: Boca Raton, FL
Checkmark Icon$145,530
11-0359905/24/2012Claimant(s): Rhonda Lonardo
Claimant Lawyers(s): D. Daxton White
Respondent(s): Jay Fischer
Respondent Lawyers(s): Robert J. Harvey
Arbitrator(s): David Rich
Hearing Site: Boca Raton, FL
Checkmark Icon$319
11-0072305/21/2012Claimant(s): Dianna Crossman
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Wells Fargo Advisors, Cynthia Kines
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Cheryl E. Winton, Richard F. Lang, David Rich
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
08-0481006/16/2009Claimant(s): Michael Prevor Roth IRA
Claimant Lawyers(s): Michael A. Prevor
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): David Rich
Hearing Site: Boca Raton, FL
Checkmark Icon$5,319
07-0244708/14/2008Claimant(s): Bernice Kramer
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Leighton Applefeld
Respondent Lawyers(s): Leighton David Applefeld
Arbitrator(s): Randy R. Freedman, Lanny M. Leff, David Rich
Hearing Site: Boca Raton, FL
Checkmark Icon$1,121,910

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