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FINRA Awards for Alison M. Gutierrez

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0295612/28/2016Claimant(s): Royce Potts
Claimant Lawyers(s): Royce H. Potts
Respondent(s): Mutual Of Omaha Investor Services.
Respondent Lawyers(s): Alison M. Gutierrez
Arbitrator(s): Mary Ellen Burns, Annamaria Boccia Smith, Mariane A. Liebowitz
Hearing Site: New York, NY
11-0222410/05/2012Claimant(s): Robert Bennie
Claimant Lawyers(s): Christopher B. Trowbridge
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Alison M. Gutierrez
Arbitrator(s): Larry R. Trussell, Steven C. Despotovich, James E. Michaels
Hearing Site: Omaha, NE

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