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FINRA Awards for Herbert Murez

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Displaying 10 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0199511/17/2015Claimant(s): Sean Edrington
Claimant Lawyers(s): Joseph R. Becerra
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Herbert Murez, Benjamin F. Breslauer, Brant Jackson Griffin
Hearing Site: Los Angeles, CA
11-0120301/26/2015Claimant(s): Jeffrey Rogers
Claimant Lawyers(s): Harvey C. Berger
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Timothy B. Del Castillo, Trish M. Higgins
Arbitrator(s): Herbert Murez, Nancy J. Spieczny, Vytas Tarulis
Hearing Site: San Diego, CA
13-0315305/29/2014Claimant(s): John Orcutt, UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Fred Mandell
Respondent Lawyers(s): Jonathan W. Evans
Arbitrator(s): Herbert Murez, Salvatore A. Sciortino, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
Expungement
12-0360111/25/2013Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Dianne Baquet Smith
Respondent(s): Jen Lee
Respondent Lawyers(s): Jen Yung Lee
Arbitrator(s): Herbert Murez, Ralph B. Perry, David S. Harrison
Hearing Site: Los Angeles, CA
12-0309810/03/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg, Timothy N. Will
Respondent(s): Catherine Sweeney
Respondent Lawyers(s): Catherine Rose Sweeney
Arbitrator(s): Herbert Murez
Hearing Site: Los Angeles, CA
12-0423210/01/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): Douglas Lounsbury
Respondent Lawyers(s): Douglas Milton Lounsbury
Arbitrator(s): Herbert Murez
Hearing Site: Los Angeles, CA
12-0169507/29/2013Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): John Lindsey
Respondent Lawyers(s): Shirley Hayton
Arbitrator(s): Robert D. Sussin, Efren Cleofe, Herbert Murez
Hearing Site: Los Angeles, CA
10-0475706/15/2012Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Robert Soucy
Respondent Lawyers(s): Robert Henri Soucy
Arbitrator(s): Alan J. Duncan, Herbert Murez, Paul E. Dahlman
Hearing Site: Las Vegas, NV
10-0439312/20/2011Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Steven Glasberg
Respondent Lawyers(s): Steven L. Glasberg
Arbitrator(s): Herbert Murez
Hearing Site: Los Angeles, CA
10-0476107/01/2011Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Jamie Dick
Respondent Lawyers(s): Jamie Dick
Arbitrator(s): Herbert Murez
Hearing Site: Las Vegas, NV

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