FINRA Awards for Doris V. Knotter

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
15-01379	08/03/2017	Claimant(s): Catherine Bruno Claimant Lawyers(s): Catherine Bruno Respondent(s): UBS Financial Services Inc., Lawrence Zech Respondent Lawyers(s): Julie L. Taylor Arbitrator(s): Guenter S. Cohn, Doris V. Knotter, Seth Schwartz Hearing Site: San Diego, CA
16-03328	07/20/2017	Claimant(s): Shareholders Service Group. Claimant Lawyers(s): Jeffrey S. Kob Respondent(s): Jean Schott Respondent Lawyers(s): Matthew S. Rork Arbitrator(s): Herbert Liberman, Doris V. Knotter, Thomas L. Marshall Hearing Site: San Diego, CA		Expungement
16-00543	12/12/2016	Claimant(s): John Toman Claimant Lawyers(s): Nicholas P. Iavarone Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Judy Louie Arbitrator(s): Brett W. Everhart, Doris V. Knotter, Randy R. Maher Hearing Site: San Diego, CA
12-04301	08/20/2013	Claimant(s): Franklin Miller Claimant Lawyers(s): Peter Brown Dolan Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Judy Louie Arbitrator(s): Doris V. Knotter, Terry D. Anderson, Randy R. Maher Hearing Site: San Diego, CA