FINRA Awards for Albert J. Haller

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
17-01064	01/09/2019	Claimant(s): Albert Kaufman Claimant Lawyers(s): Albert Duncan Kaufman Respondent(s): LPL Financial LLC Respondent Lawyers(s): Neil S. Baritz Arbitrator(s): Thomas J. Ray, Albert J. Haller, Robert Joseph Osdieck Hearing Site: St. Louis, MO
15-00337	02/02/2016	Claimant(s): Steven Farris Claimant Lawyers(s): Luke A. Baumstark Respondent(s): U.S. Bancorp Investments. Respondent Lawyers(s): Eric Raphan Arbitrator(s): Bruce S. Feldacker, Albert J. Haller, Kim L. Kirn Hearing Site: St. Louis, MO
09-00239	01/29/2014	Claimant(s): Norman Meyer Claimant Lawyers(s): Helmut Starr Respondent(s): Questar Asset Management., Questar Capital Corporation Respondent Lawyers(s): James F. Jorden Arbitrator(s): Thomas J. Ray, Albert J. Haller, Teresa Marie Boyer Allgeyer Hearing Site: St. Louis, MO
11-00591	12/13/2012	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Gregg W. Marsano Respondent(s): Whitney Kenter Respondent Lawyers(s): Darrell J. Graham Arbitrator(s): Albert J. Haller, R. Phillip Reed, David J. Bokal Hearing Site: St. Louis, MO