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FINRA Awards for Paul D. Gutierrez

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0197701/09/2012Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Sandeep Hingorani
Respondent Lawyers(s): Sandeep Hingorani
Arbitrator(s): Michael R. Mitchell, Paul D. Gutierrez, Elmo E. Wedderburn
Hearing Site: Reno, NV
08-0201204/07/2010Claimant(s): Alva Thaning
Claimant Lawyers(s): James C. Bridgman
Respondent(s): UBS Financial Services Inc., UBS/Paine Webber, UBS/Paine Webber Partner's Plus
Respondent Lawyers(s): Walter M. Stella
Arbitrator(s): Herb Schwartz, Paul D. Gutierrez, M. Scott Donahey
Hearing Site: San Francisco, CA

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