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FINRA Awards for New York, NY

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Displaying 771-780 out of 3,546 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0338702/18/2021Claimant(s): Allied Millennial Partners
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): Ross Gladstone
Respondent Lawyers(s): Stuart N. Kaplan
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
20-0265702/18/2021Claimant(s): Everett Weinberger, William Giordano
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
20-0243302/17/2021Claimant(s): Equitable Advisors, Equitable Network
Claimant Lawyers(s): Raha Assadi
Respondent(s): Michael Gopie
Respondent Lawyers(s): Michael P. Gopie
Arbitrator(s): Steven Gary Leventhal
Hearing Site: New York, NY
20-0157302/16/2021Claimant(s): Tuan Phan
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Josian Antoine
Hearing Site: New York, NY
20-0164402/12/2021Claimant(s): Gisselle Mata
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dulap
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
20-0243602/12/2021Claimant(s): Jason Feldman
Claimant Lawyers(s): Amy B. Bard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
20-0177202/11/2021Claimant(s): Anil Jethmal
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Veronica Ann Williams
Hearing Site: New York, NY
16-0212202/09/2021Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J Shapren
Respondent(s): Jason Schoenholtz
Respondent Lawyers(s): Denis Kelleher
Arbitrator(s): Robert J. Miller, James M. Rhodes, Anna Lascar
Hearing Site: New York, NY
20-0129602/09/2021Claimant(s): Zachary Brody
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
18-0128802/08/2021Claimant(s): David Romhilt
Claimant Lawyers(s): Sandra Lahens
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Ross E. Firsenbaum
Arbitrator(s): Douglas F. Stone, Ivan W. Harper, Michael S. Lazan
Hearing Site: New York, NY

3,546 Results

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