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FINRA Awards for Jeffrey Rogers

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0287305/20/2021Claimant(s): Jeffrey Rogers
Claimant Lawyers(s): Brian Luther
Respondent(s): QA3 Financial Corp., United Planners' Financial Services Of A
Respondent Lawyers(s): Dave Hauer, Stephen Wild
Arbitrator(s): Martin M. Van Luven
Hearing Site: Orlando, FL
11-0120301/26/2015Claimant(s): Jeffrey Rogers
Claimant Lawyers(s): Harvey C. Berger
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Timothy B. Del Castillo, Trish M. Higgins
Arbitrator(s): Herbert Murez, Nancy J. Spieczny, Vytas Tarulis
Hearing Site: San Diego, CA

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