FINRA Awards for Richard E. Lauziere

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Displaying 11-14 out of 14 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
15-03344	02/22/2017	Claimant(s): SunTrust Investment Services. Claimant Lawyers(s): Caryn D. Shaw Respondent(s): Justin Hendrick Respondent Lawyers(s): Justin Hendrick Arbitrator(s): Richard E. Lauziere, Gregory Hunter Mathews, Linda Arlene Michler Hearing Site: Norfolk, VA
15-00777	01/23/2017	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Alan S. Brodherson Respondent(s): Jeffrey Smith Respondent Lawyers(s): Jeffrey H. Smith Arbitrator(s): Richard E. Lauziere, Glenn H. Catalano, David Paul Clark Hearing Site: Norfolk, VA
12-03523	05/09/2014	Claimant(s): Sean Horrigan Claimant Lawyers(s): Jonathan Sack Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): Shepherd D. Tate Arbitrator(s): Richard E. Lauziere, Jane C. Carney, William P. Borduin Hearing Site: Baltimore, MD
13-00992	11/21/2013	Claimant(s): Charles Ward Claimant Lawyers(s): Rebecca E. Swenson Respondent(s): Helen Ward, John Ward, UBS Financial Services Inc., Lea Ward Respondent Lawyers(s): Helen Ward, John P. Ward, Lea C. Ward, Rebecca E. Swenson Arbitrator(s): Richard E. Lauziere, Brenda J. Stovall, Jason William Gaarder Hearing Site: Baltimore, MD		Expungement