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FINRA Awards for Paul J. Dubow

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0019608/26/2016Claimant(s): Christopher Peters, E*Trade Securities LLC
Claimant Lawyers(s): Meredith F. Hoffman
Respondent(s): Mohammad Yazdi
Respondent Lawyers(s): Mohammad Yazdi
Arbitrator(s): Paul J. Dubow, Dean J. Dietrich, Kenneth Paul Strongman
Hearing Site: San Francisco, CA
Expungement
13-0150210/10/2014Claimant(s):
Claimant Lawyers(s):
Respondent(s): Bradley Gardner, Daniel Catone, Michael Gibson
Respondent Lawyers(s): Alan M. Steinberg, Cary S. Lapidus
Arbitrator(s): Paul J. Dubow, Thomas D. Reese, Arocles Aguilar
Hearing Site: San Francisco, CA
07-0197204/17/2009Claimant(s): Timothy Sullivan
Claimant Lawyers(s): Anne Marie Murphy
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Kelly J. Moynihan
Arbitrator(s): Paul J. Dubow, Carl B. Noelke, Thomas C. McNally
Hearing Site: San Francisco, CA

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