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FINRA Awards for Christopher J. Rogers

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0338906/12/2014Claimant(s): UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): James Floyd, Mary Floyd
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Thomas E. Shuck, Christopher J. Rogers, Robert B. Hansohn
Hearing Site: Los Angeles, CA
Expungement
09-0350807/29/2010Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Jin-Ho Chung
Respondent(s): Noyeg Arkoian
Respondent Lawyers(s): Noyeg Arkoian
Arbitrator(s): Christopher J. Rogers, David Maurer, Stephen Malcolm Squire
Hearing Site: Los Angeles, CA
07-0230403/20/2008Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): David H.S. Commins
Respondent(s): Gregory Iglow
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Christine A. Page, Cynthia Ann Higgins, Christopher J. Rogers
Hearing Site: Los Angeles, CA

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