FINRA Awards for Direct Capital Securities.

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 2 out of 2 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-01378	07/30/2019	Claimant(s): Robert Horning Claimant Lawyers(s): Tosh D Grebenik Respondent(s): Direct Capital Securities. Respondent Lawyers(s): Ray Stovall Arbitrator(s): Adam Michael Porter Hearing Site: Los Angeles, CA
05-01153	08/24/2007	Claimant(s): Burke Dambly, Cindy Chiu, Corbin Thomas, James Walsh, Linda Bak, Robert Horning, Troy Thomas Claimant Lawyers(s): Michael Blumenfeld Respondent(s): Michael Upton, Direct Capital Securities., MCL Financial Group., Upton Financial Services. Respondent Lawyers(s): Clay Womack, Theodore Peters Arbitrator(s): Barbara M. Zak, Dorothy B. Strackbein, Janice A. Salter Hearing Site: Los Angeles, CA