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FINRA Awards for Prudential Securities

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0056302/06/2020Claimant(s): Anthony Sica
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Prudential Securities, Shearson Lehman Brothers Inc. (Puerto Ri
Respondent Lawyers(s): Alan S. Brodherson, Joseph A. Del Duca
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
10-0076111/01/2010Claimant(s): Keith Brodkorb
Claimant Lawyers(s): Meghan W. Cassidy
Respondent(s): Joseph Kelly, Prudential Securities
Respondent Lawyers(s): Brian Witus
Arbitrator(s): Robert J. Scafuri, James L. Karpen, Ann W. Hartmann
Hearing Site: Detroit, MI
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