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FINRA Awards for Theodore Peters

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0459905/02/2012Claimant(s): Helen Robinson, Helen T. Robinson Trust
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): John Schooler, Louis Schooler, Thomas Hanson, Tom English, Warren Horney, WFP Securities
Respondent Lawyers(s): Louis V. Schooler, Theodore Peters, Tom English
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
05-0115308/24/2007Claimant(s): Burke Dambly, Cindy Chiu, Corbin Thomas, James Walsh, Linda Bak, Robert Horning, Troy Thomas
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Michael Upton, Direct Capital Securities., MCL Financial Group., Upton Financial Services.
Respondent Lawyers(s): Clay Womack, Theodore Peters
Arbitrator(s): Barbara M. Zak, Dorothy B. Strackbein, Janice A. Salter
Hearing Site: Los Angeles, CA

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