FINRA Awards for Steve A. Buchwalter

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-01824	01/09/2023	Claimant(s): Betsy Merritt, Joseph Singleton Claimant Lawyers(s): Steve A. Buchwalter Respondent(s): Janice Cartwright, John Cartwright Respondent Lawyers(s): Johnny L. Antwiler Arbitrator(s): Benjamin F. Breslauer, Thomas Mason Harwood, Eric Beatty Hearing Site: Los Angeles, CA
20-02034	07/02/2021	Claimant(s): Shomir Mukherjee Claimant Lawyers(s): Steve A. Buchwalter Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Erik R. Siering, Constance Ellen Boukidis, Brant Jackson Griffin Hearing Site: Los Angeles, CA
12-00936	11/29/2012	Claimant(s): Fariba Madison Claimant Lawyers(s): Steve A. Buchwalter Respondent(s): Rita Kennann Respondent Lawyers(s): Arline P. Vezina Arbitrator(s): A. Joel Klein, Joyce L. Hurley, Karen A. Lockwood Hearing Site: Los Angeles, CA		Expungement
11-01487	06/28/2012	Claimant(s): Jason Lowther Claimant Lawyers(s): Steve A. Buchwalter Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): James C. Browning Arbitrator(s): Larry Haugaard, Donald A. Duncan, Robert Alan Merring Hearing Site: Los Angeles, CA