FINRA Awards for Richard Rubin

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Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
14-01086	11/05/2015	Claimant(s): Kostantina Bourdev Claimant Lawyers(s): Cary S. Lapidus Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Jeffrey A. Wortman Arbitrator(s): Richard L. Rubin, Robert Mallin Hirsch, Roger Gilbert Hearing Site: San Francisco, CA
12-02202	07/21/2014	Claimant(s): Annette Liebergesell, Bernd Liebergesell, Daniel White, Donald Bill, Gloria Bill, Dan White Revocable Living Trust, The Bill Family Trust dtd Nov. 05, 2003 Claimant Lawyers(s): Brian D. Miller Respondent(s): Dennis Pettinelli, Signator Investors., Wells Investment Securities. Respondent Lawyers(s): Gregory T. Fayard, Marc V. Allaria, Richard B. Hopkins Arbitrator(s): Richard L. Rubin, Pamela S. Mann, Shawn Ridgell Hearing Site: San Francisco, CA		Expungement
06-00479	12/17/2007	Claimant(s): Wachovia Securities Claimant Lawyers(s): David James Smith Respondent(s): Richard Rubin Respondent Lawyers(s): Michael S. Taaffe Arbitrator(s): Thomas R. Maimone, Frank Nussbaum, Joel F. Martineau Hearing Site: Boca Raton, FL