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FINRA Awards for Genworth Financial Securities Corp.

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0461208/15/2013Claimant(s): James Baldino, Tri-Con Construction Co. of New Jersey
Claimant Lawyers(s): Mark J. Astarita
Respondent(s): Richard Polo, Dunham & Associates Investment Counsel,, Genworth Financial Securities Corp.
Respondent Lawyers(s): Joel M. Wertman, Theodore C. Peters
Arbitrator(s): John A. Scudiero, Micalyn S. Harris, Theresa R. Joyner
Hearing Site: Newark, NJ
Checkmark Icon$1,623,900
09-0192405/04/2010Claimant(s): Paul Carey, Victoria Carey
Claimant Lawyers(s): Andrew O. Whiteman
Respondent(s): Genworth Financial Securities Corp.
Respondent Lawyers(s): Matthew H. Hall
Arbitrator(s): Zeb E. Barnhardt, Thomas C. Looney, Karen A. West
Hearing Site: Raleigh, NC
Checkmark Icon$363,010

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