FINRA Awards for Steven Gourley

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Displaying 6 out of 6 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
22-00088	01/03/2023	Claimant(s): Bernard Reina Claimant Lawyers(s): Robert L. Gonser Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Steven Gourley, Robert E. Jenks, Zygmont Jacob Boxer Hearing Site: Los Angeles, CA
22-00411	08/23/2022	Claimant(s): Kenneth South Claimant Lawyers(s): Patrick Mahoney Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): William H. Badinelli Arbitrator(s): Steven Gourley, Andrea Luise Halperin, Howard Clark Posner Hearing Site: Los Angeles, CA
16-00546	06/01/2017	Claimant(s): Farid Morim Claimant Lawyers(s): Farid Morim Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Jeff Wortman Arbitrator(s): Steven Gourley, Jack R. Goetz, Kathleen Smith Adams Hearing Site: Los Angeles, CA
13-03119	11/19/2015	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Lynne C. Hermle, Trish M. Higgins Respondent(s): Carrie Riley Respondent Lawyers(s): Stephen S. Smith Arbitrator(s): Steven Gourley Hearing Site: Los Angeles, CA
14-03355	03/20/2015	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Jason E. Murtagh Respondent(s): Dennis Ayre Respondent Lawyers(s): Dennis Phillip Ayre Arbitrator(s): Steven Gourley Hearing Site: Los Angeles, CA
11-02549	12/30/2011	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Karen P. Gaster Respondent(s): Ronald Anglin Respondent Lawyers(s): Ronald Gene Anglin Arbitrator(s): Steven Gourley Hearing Site: Los Angeles, CA