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FINRA Awards for Los Angeles, CA

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Displaying 10 out of 830 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0309711/26/2024Claimant(s): Lisa Lighthipe-Hinz
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Ashley Lucile Belleau, Keely D. Parr, Daniel James Kortum
Hearing Site: Los Angeles, CA
23-0312811/26/2024Claimant(s): Jane Cao
Claimant Lawyers(s): Harris Freedman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Emma M. Tomsick
Arbitrator(s): Jeffrey L. Malek
Hearing Site: Los Angeles, CA
23-0163710/30/2024Claimant(s): Austin Saremi
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kathryn Perreault
Arbitrator(s): Roberta Haft, Edith N. Dinneen, April Paradise-Switzer
Hearing Site: Los Angeles, CA
23-0293910/25/2024Claimant(s): Michael Fordham
Claimant Lawyers(s): Gordon C. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Roberta Haft, Olivia J. Valentine, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
24-0080310/24/2024Claimant(s): D.A. Davidson & Co.
Claimant Lawyers(s): Nancy L Hendrickson
Respondent(s): Gregg Whelan
Respondent Lawyers(s): Austin Davis
Arbitrator(s): Robert D. Sussin, Jeffrey L. Malek, Anna Marie Turco
Hearing Site: Los Angeles, CA
23-0287110/23/2024Claimant(s): Andrew Stout
Claimant Lawyers(s): Peter Lindholm
Respondent(s): WAMU Investments., UBS Financial Services Inc., Citicorp Investment Services
Respondent Lawyers(s): Adam Kaufforate Officer, John Murphy
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
23-0364010/11/2024Claimant(s): Kurt Jackson
Claimant Lawyers(s): Richard A D'Amura
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Shawn Shook
Arbitrator(s): Katherine Hendricks, Susan C Lushing, Robert Dean McKinley
Hearing Site: Los Angeles, CA
23-0129010/07/2024Claimant(s): Glen Strauss, Hank Krakover, Jonathan Lewis
Claimant Lawyers(s): Richard A. Schwartz
Respondent(s): Wells Fargo Clearing Services, Wells Fargo & Company
Respondent Lawyers(s): David W. Moreshead
Arbitrator(s): Olivia J. Valentine, Alan Stanley Petlak, Edward James Weiss
Hearing Site: Los Angeles, CA
23-0274909/17/2024Claimant(s): James Simmons
Claimant Lawyers(s): Harris Freedman
Respondent(s): FSC Securities Corporation, Brookstreet Securities Corporation, National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels, Jennifer R. Cox, Julie Mains
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
23-0289309/13/2024Claimant(s): Howard Hsieh
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA

830 Results

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