FINRA Awards for Robert B. Ericson

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Displaying 6 out of 6 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
13-03275	07/10/2024	Claimant(s): Deutsche Bank Securities. Claimant Lawyers(s): Robert B. Ericson Respondent(s): James Dryden Respondent Lawyers(s): Deborah A. Klar Arbitrator(s): Robert D. Sussin, Kirtley M. Thiesmeyer, Frank Centofanti Hearing Site: Los Angeles, CA
15-00493	04/07/2017	Claimant(s): Deutsche Bank Securities. Claimant Lawyers(s): Robert B. Ericson Respondent(s): Michael Jarmolowich Respondent Lawyers(s): Michael Jarmolowich Arbitrator(s): Bernard M. Levine Hearing Site: New York, NY
13-01995	11/17/2015	Claimant(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
12-01338	12/12/2013	Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Robert B. Ericson Respondent(s): William McClendon Respondent Lawyers(s): Joseph A. Salazar Arbitrator(s): John J. Flynn, Edwin C. Shiver, Zachary Scott Rigdon Hearing Site: San Francisco, CA
11-00469	07/22/2013	Claimant(s): Deutsche Bank Securities. Claimant Lawyers(s): Robert B. Ericson Respondent(s): Trevor Rahn Respondent Lawyers(s): Leonard Steiner Arbitrator(s): Alan Stamm, Gary Timothy Haight, Dean Schneider Hearing Site: Los Angeles, CA
10-03889	03/12/2012	Claimant(s): Deutsche Bank Securities. Claimant Lawyers(s): Robert B. Ericson Respondent(s): Andrew Zicklin Respondent Lawyers(s): Andrew Zicklin Arbitrator(s): David Zollman, Arthur F. Brueggeman, Thomas Mason Harwood Hearing Site: Los Angeles, CA