Potomac Analytics' Logo

FINRA Awards for Owen Frances

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 3 out of 3 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0312011/27/2019Claimant(s): Fariba Madison
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): David Terrell, Sean Pong, U.S. Bancorp Investments.
Respondent Lawyers(s): Christina N. Goodrich
Arbitrator(s): Steven A. Wawra, Robert Dean McKinley, Owen Frances
Hearing Site: Los Angeles, CA
17-0161805/09/2018Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N Will
Respondent(s): Donavan Mayes, Gayle Bullock, William Bullock
Respondent Lawyers(s): Stephany D. McLaughlin, Timothy N Will
Arbitrator(s): Andrew M. Mintzer, Dorothy B. Strackbein, Owen Frances
Hearing Site: Los Angeles, CA
15-0061007/07/2016Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): John Lipari
Respondent Lawyers(s): Michael E. Barmasse
Arbitrator(s): Kirtley M. Thiesmeyer, Owen Frances, Kathleen Smith Adams
Hearing Site: Los Angeles, CA

3 Results

Display: