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FINRA Awards for Los Angeles, CA

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Displaying 811-820 out of 830 results
Case Number Award Date Case Summary Customer Case? Amount Granted
04-0860512/10/2007Claimant(s): James Murray
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jodi S. Cohen
Arbitrator(s): Stephen Brixey, Donald S. Simons, Mario H. Metzger
Hearing Site: Los Angeles, CA
05-0645012/07/2007Claimant(s): Ronald Goldman
Claimant Lawyers(s): William R. Lindsley
Respondent(s): Wachovia Securities, Terry Chase
Respondent Lawyers(s): G. Thomas Fleming, Sheryl Skibbie
Arbitrator(s): Donald S. Simons, Robert S. Fash, Robert E. Jenks
Hearing Site: Los Angeles, CA
07-0295212/06/2007Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Brian I. Hays
Respondent(s): Thomas Vance
Respondent Lawyers(s): Thomas K. Vance
Arbitrator(s): Laurie J. Butler
Hearing Site: Los Angeles, CA
06-0535512/05/2007Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ross E. Noble
Respondent(s): Frank Parlato
Respondent Lawyers(s): Frank C. Parlato
Arbitrator(s): James P. Murphy, George Frederick Garris, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
06-0293111/29/2007Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Carmine Grillo, Charles Hubbard, Christopher Horner, Melvin Reiter, Robert Weaver, Dain Rauscher Financial Group
Respondent Lawyers(s): Carolyn Guy, Merle H. Horwitz
Arbitrator(s): Robert S. Fash, Linda J. Berberian, Kendall C. Reed
Hearing Site: Los Angeles, CA
05-0120911/20/2007Claimant(s): Tania Appell
Claimant Lawyers(s): Debra A. Opri
Respondent(s): John Lee, A.G. Edwards & Sons.
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Harris E. Kershnar, J. Jean Elliott, Michael Charles Doland
Hearing Site: Los Angeles, CA
05-0018511/16/2007Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Brian C. Free
Respondent(s): Donald Popkes
Respondent Lawyers(s): Donald L. Popkes
Arbitrator(s): Milton C. Bennett
Hearing Site: Los Angeles, CA
07-0164411/16/2007Claimant(s): Joseph Padilla
Claimant Lawyers(s): Irving M. Einhorn
Respondent(s): Empire Financial Group.
Respondent Lawyers(s): Gary A. Klein
Arbitrator(s): Luther Delano Prater, David Maurer, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
05-0392711/08/2007Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Walter Glass
Respondent Lawyers(s): Stephen M. Harris
Arbitrator(s): Linda L. Drummond, Joel D. Davidman, Ronald F. Rybandt
Hearing Site: Los Angeles, CA
07-0127011/06/2007Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Deborah A. Mark
Respondent(s): Bayan Alrachid
Respondent Lawyers(s): Bayan Alrachid
Arbitrator(s): Linda L. Drummond
Hearing Site: Los Angeles, CA

830 Results

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