FINRA Awards for Laurel Littman Gothelf

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Displaying 21-30 out of 43 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-01109	01/09/2019	Claimant(s): Michael Owen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): GunnAllen Financial Respondent Lawyers(s): Corporate Officer Arbitrator(s): Laurel Littman Gothelf Hearing Site: Salt Lake City, UT
18-01162	11/29/2018	Claimant(s): Travis Hughes Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Investors Capital Corp. Respondent Lawyers(s): Christina Vourakis Arbitrator(s): Laurel Littman Gothelf Hearing Site: Albuquerque, NM
18-01230	11/15/2018	Claimant(s): Shane Brisbin Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Patrick S. Christensen Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA
18-00418	10/18/2018	Claimant(s): Scott MacDonald Claimant Lawyers(s): George C. Miller Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA
18-00208	10/04/2018	Claimant(s): Jared Smith Claimant Lawyers(s): Michael Bessette Respondent(s): Banc of America Investment Services Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Laurel Littman Gothelf Hearing Site: Seattle, WA
17-02089	04/04/2018	Claimant(s): David Mendoza Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA
17-01210	11/06/2017	Claimant(s): Ronald Daly Claimant Lawyers(s): Patrick Mahoney Respondent(s): Piper Jaffray & Co. Respondent Lawyers(s): Ann C. McCague Arbitrator(s): Laurel Littman Gothelf Hearing Site: Boise, ID
17-00293	09/08/2017	Claimant(s): Michelle Peng Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Banc of America Investment Services Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA
16-03567	07/11/2017	Claimant(s): Phillip Scott Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi Perry Spallina Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA
16-03250	06/12/2017	Claimant(s): Robert Keller Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Joshua D. Jones Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA