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FINRA Awards for Joseph A. Forgione

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0409301/13/2015Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Walter A. Saurack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Joseph A. Forgione, Randolph Guggenheimer, Arthur Best
Hearing Site: New York, NY
09-0504212/12/2013Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Mark J. Alonso
Respondent(s): Robert Loftus
Respondent Lawyers(s): Jeffrey L. Liddle
Arbitrator(s): Hugh N. Fryer, Joseph A. Forgione, Kenneth Paul Williams
Hearing Site: New York, NY
12-0211908/06/2013Claimant(s): Richard Lumelleau
Claimant Lawyers(s): John D. Singer
Respondent(s): Rencap Securities.
Respondent Lawyers(s): Brian L. Friedman
Arbitrator(s): Mitchell S. Friedman, Joseph A. Forgione, W. Alexander Melbardis
Hearing Site: New York, NY
11-0258102/24/2012Claimant(s): Ignazio Baiamonte, Ignazio Baiamonte IRA, Baiamonte Family 2008 Irrevocable Trust
Claimant Lawyers(s): W. Alexander Melbardis
Respondent(s): Edward Scro, James Gaul, Jeffrey Rachlin, Alternative Wealth Strategies.
Respondent Lawyers(s): Edward Francis Scro, James C. Gaul, James Carl Gaul, Jeffrey Rachlin
Arbitrator(s): Martin Jay Siegel, Joseph A. Forgione, Gary W. Sherbell
Hearing Site: New York, NY
Checkmark Icon$901,750
09-0328310/11/2010Claimant(s): Richard Rothaar
Claimant Lawyers(s): David B. Wechsler
Respondent(s): Standard Credit Securities Inc.
Respondent Lawyers(s): Chaim A. Levin
Arbitrator(s): Joseph A. Forgione, Annamaria Boccia Smith, David Serko
Hearing Site: New York, NY

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