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FINRA Awards for Richard A. Schwartz

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Case Number Award Date Case Summary Customer Case? Amount Granted
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
07-0138602/05/2008Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Raquel Terrigno
Respondent(s): Richard Schwartz
Respondent Lawyers(s): Richard A. Schwartz
Arbitrator(s): Garrick A. Rollert
Hearing Site: Detroit, MI

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