FINRA Awards for Gilbert R. Serota

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-03575	06/03/2013	Claimant(s): Torrey Pines Securities. Claimant Lawyers(s): Michael Jacobs Respondent(s): Adam Schwartz, Charles Schwab & Co.. Respondent Lawyers(s): Gilbert R. Serota Arbitrator(s): James R. Duncan, Victoria E. Johnson, David W. Casey Hearing Site: Los Angeles, CA
06-04496	10/24/2007	Claimant(s): Henry Stockman Claimant Lawyers(s): William M. Ziering Respondent(s): Bear, Stearns & Co. Inc. Respondent Lawyers(s): Gilbert R. Serota Arbitrator(s): Paul F. Faberman, Kathryn J. Toronto, Homer L. Davis Hearing Site: San Francisco, CA