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FINRA Awards for Client One Securities LLC

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0001011/06/2020Claimant(s): Roberto Trejo
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Client One Securities LLC
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
17-0175007/27/2018Claimant(s): Jason Smitka
Claimant Lawyers(s): Jerry D. Rank
Respondent(s): Mark Roberts, Michael Tuma, Affinity Asset Management, Client One Securities LLC
Respondent Lawyers(s): John Jackson Miller, Roger N. Walter
Arbitrator(s): Lonnie L. Cunningham, Susan L. Walker, Steven Joseph Streen
Hearing Site: Kansas City, MO

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