FINRA Awards for Arthur T. Berggren

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
16-02037	01/03/2018	Claimant(s): Michael Sexton Claimant Lawyers(s): John D. Singer Respondent(s): Brett Grimes Respondent Lawyers(s): Kevin K. Fitzgerald Arbitrator(s): Arthur T. Berggren, Kevin Joseph Pilon, H. Stuart Waxman Hearing Site: Los Angeles, CA
15-01403	06/14/2016	Claimant(s): Lisa Detanna Claimant Lawyers(s): Scott E. Rahn Respondent(s): Wedbush Securities Inc. Respondent Lawyers(s): Charles LaChaussee Arbitrator(s): Arthur T. Berggren Hearing Site: Los Angeles, CA
13-03576	07/08/2015	Claimant(s): Stifel, Nicolaus & Co.. Claimant Lawyers(s): Ken M. Fitzgerald Respondent(s): James Wohlford, Penney Sick Respondent Lawyers(s): D. Greg Durbin, Ken M. Fitzgerald Arbitrator(s): Arthur T. Berggren, Kevin Joseph Pilon, Ethan Joseph Brown Hearing Site: Los Angeles, CA
09-00335	02/24/2011	Claimant(s): Araceli Fonseca Claimant Lawyers(s): Marie C. Mirch Respondent(s): Brett Saddler, Ameriprise Financial Services. Respondent Lawyers(s): Katherine J. Stanton Arbitrator(s): Kenneth E. Owen, Arthur T. Berggren, Richard William DeWeese Hearing Site: Los Angeles, CA