FINRA Awards for Jerold R. Babin

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Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
12-01549	11/08/2012	Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Audette Paul Morales Respondent(s): Charles S. Hoyt, IRA, SEP-IRA, Charles S. Hoyt & Nancy S. Hoyt Respondent Lawyers(s): Thomas D. Mauriello Arbitrator(s): Laurel Littman Gothelf, Jerold R. Babin, Michael Lancaster Garcia Hearing Site: San Francisco, CA		Expungement
12-01677	10/19/2012	Claimant(s): Kimon Daifotis, Charles Schwab & Co.. Claimant Lawyers(s): Audette P. Morales Respondent(s): Don Miller, Donald C. Miller Cust IRA Rollover, Donald C. Miller Cust Roth Contrib, IRA Respondent Lawyers(s): Thomas F. Shine Arbitrator(s): James N. D'Orso, Jerold R. Babin, Linda M. McCoy Hearing Site: San Francisco, CA		Expungement
08-00527	12/21/2009	Claimant(s): David Lehrer, Dennis Contrestano, Jack Swenson, Michael Luby, Michael Patterson, Michael Swenson, Patrick Howell, Stephen Hird Claimant Lawyers(s): Amanda M. Knudsen Respondent(s): Piper Jaffray & Co., Piper Jaffray Companies Respondent Lawyers(s): Julie A. Kole Arbitrator(s): Thomas C. McNally, Sterling N. Frost, Jerold R. Babin Hearing Site: San Francisco, CA