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FINRA Awards for Ralph B. Perry

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Displaying 5 out of 5 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0200002/05/2015Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Darin Pastor
Respondent Lawyers(s): Hayden Trubitt
Arbitrator(s): Ralph B. Perry
Hearing Site: Los Angeles, CA
14-0093012/11/2014Claimant(s): Mike Kratzke
Claimant Lawyers(s): Miriam G. Bahcall
Respondent(s): The Moapa Band of Paiutes
Respondent Lawyers(s): Ron Settje
Arbitrator(s): Barry A. Mainardi, Ralph B. Perry, David L. Moran
Hearing Site: Las Vegas, NV
Expungement
13-0061611/04/2014Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Arturo Brook
Respondent Lawyers(s): Jonathan Schwartz
Arbitrator(s): John F. Cordova, Ralph B. Perry, Steven A. Wawra
Hearing Site: Los Angeles, CA
12-0360111/25/2013Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Dianne Baquet Smith
Respondent(s): Jen Lee
Respondent Lawyers(s): Jen Yung Lee
Arbitrator(s): Herbert Murez, Ralph B. Perry, David S. Harrison
Hearing Site: Los Angeles, CA
11-0269903/26/2013Claimant(s): Lori Koh
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): James R. Duncan, Ralph B. Perry, Robert B. Hansohn
Hearing Site: Los Angeles, CA

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