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FINRA Awards for Lawrence R. Mills

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0246104/08/2019Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Jon Gegenheimer
Respondent Lawyers(s): Daniel Green
Arbitrator(s): Minnie Loo, Lawrence R. Mills, A. James Oakes
Hearing Site: San Francisco, CA
17-0277902/21/2018Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Yu-Chin Chen
Respondent Lawyers(s): Yu-Chin Grace Chen
Arbitrator(s): Lawrence R. Mills
Hearing Site: San Francisco, CA

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