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FINRA Awards for Los Angeles, CA

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Displaying 21-30 out of 830 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0102206/18/2024Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Henry Chang
Respondent Lawyers(s): Henry Chia-How Chang
Arbitrator(s): Mario H. Metzger, Kirtley M. Thiesmeyer, Daniel Lawrence Pearlman
Hearing Site: Los Angeles, CA
22-0158706/11/2024Claimant(s): Nicholas Takahashi
Claimant Lawyers(s): Patrick R Mahoney
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Michael G. Clark, Robert B. Hansohn, Jack R. Goetz
Hearing Site: Los Angeles, CA
23-0141506/11/2024Claimant(s): David Brodsky
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA
23-0292106/10/2024Claimant(s): Jesus Quezada
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Regulus Financial Group
Respondent Lawyers(s): Wendy Clarke
Arbitrator(s): Robert D. Sussin, Noel Harvey Applebaum, Alan Stanley Petlak
Hearing Site: Los Angeles, CA
24-0009105/24/2024Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John McGuire
Respondent(s): Zachary Taylor
Respondent Lawyers(s): Zachary Ellis Taylor
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
23-0149305/17/2024Claimant(s): Glen Strauss
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services, Lehman Brothers Inc
Respondent Lawyers(s): Christopher K. Kiplok, Geoff Beckham
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
24-0039205/15/2024Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Gabriel Lee-Sanchez
Respondent(s): Sevag Haddadian
Respondent Lawyers(s): Sevag Raffi Haddadian
Arbitrator(s): Robert C. Albini
Hearing Site: Los Angeles, CA
23-0158405/09/2024Claimant(s): Ping Shuang Wu
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
19-0327004/23/2024Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Jacob Williams
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Barbara M. Zak, Marie Ann Stein, Alina Landver
Hearing Site: Los Angeles, CA
23-0235804/08/2024Claimant(s): Jonathan French
Claimant Lawyers(s): Zack Knoblock
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Darol K. Paulsen
Arbitrator(s): Constance Ellen Boukidis, Kirtley M. Thiesmeyer, Terry Lynn Chambless
Hearing Site: Los Angeles, CA

830 Results

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