Potomac Analytics' Logo

FINRA Awards for Robert F. Saint-Aubin

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

Filter by:

Sort by:

Displaying 10 out of 19 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0110102/19/2019Claimant(s): Frank Cuenca
Claimant Lawyers(s): Michael Bessette
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Bradley Fishman
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: San Diego, CA
18-0178011/13/2018Claimant(s): Laura Raulinaitis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
18-0054109/19/2018Claimant(s): Gabriel Yanez
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Sagepoint Financial., First Wall Street Corp.
Respondent Lawyers(s): Bradley S. Fishman, Charles Lazzaro
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: San Diego, CA
17-0232908/15/2018Claimant(s): John Quinn
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Trevor J. Hardy
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
17-0244708/10/2018Claimant(s): Ryan Hyslop
Claimant Lawyers(s): Owen Harnett
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Robert F. Saint-Aubin, Sally G. Williams, Kevin L. Wheeler
Hearing Site: San Diego, CA
15-0198002/12/2018Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Thomas Jackson
Respondent Lawyers(s): Ross B. Intelisano
Arbitrator(s): Theodore G. Bradpiece, Robert F. Saint-Aubin, Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
17-0154502/01/2018Claimant(s): George Melbrod, Scott Melbrod
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Gunnar Thowsen, Herbert Liberman, Robert F. Saint-Aubin
Hearing Site: San Diego, CA
17-0112712/18/2017Claimant(s): Christopher Clark
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Larson Financial Securities
Respondent Lawyers(s): Kristen Kinney
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
16-0321204/19/2017Claimant(s): Martin Flores
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Autumn Crowell
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
15-0336310/07/2016Claimant(s): Karl Pettijohn
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA

19 Results

Display: