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FINRA Awards for Edwin C. Shiver

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0221707/23/2013Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): William P. Wallenstein
Respondent(s): Eric DeMarcus, William Yates
Respondent Lawyers(s): Eric DeMarcus, William P. Wallenstein
Arbitrator(s): Edwin C. Shiver, Gerald Joseph Wilfley, Martin Joel Fassler
Hearing Site: San Francisco, CA
12-0256303/18/2013Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Lisa Seran
Respondent Lawyers(s): Scott Greenwood-Meinert
Arbitrator(s): Edwin C. Shiver
Hearing Site: San Francisco, CA

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