FINRA Awards for Steven M. Guttell

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

Displaying 6 out of 6 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
21-00268	01/12/2022	Claimant(s): Robert Heller Claimant Lawyers(s): Kevin Lampone Respondent(s): William Pfeifer Respondent Lawyers(s): Stephen J. Anthony Arbitrator(s): Jay Lawrence Witkin, Steven M. Guttell, Richard Kent Mahrle Hearing Site: Phoenix, AZ
17-01765	12/20/2018	Claimant(s): Scottsdale Capital Advisors Corp Claimant Lawyers(s): Charles Harder Respondent(s): Eric Miller Respondent Lawyers(s): Eric Miller Arbitrator(s): Kenneth R. Johnston, Deana S. Peck, Steven M. Guttell Hearing Site: Phoenix, AZ
17-03195	04/11/2018	Claimant(s): Cambridge Investment Research. Claimant Lawyers(s): Bryce Shelman Respondent(s): Richard Blythe Respondent Lawyers(s): Bruce R. Heurlin Arbitrator(s): Steven M. Guttell Hearing Site: Phoenix, AZ
16-02595	09/08/2017	Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Ernest W. Irons Respondent(s): Ted Hawks Respondent Lawyers(s): Ted W. Hawks Arbitrator(s): Steven M. Guttell Hearing Site: Phoenix, AZ
16-00840	07/28/2017	Claimant(s): William Lane Claimant Lawyers(s): William James Lane Respondent(s): George Romano, Mark Quinzi, Farmers Financial Solutions. Respondent Lawyers(s): Christopher S. Maile, Richard C. Moore Arbitrator(s): Jerry L. Riggins, Steven M. Guttell, Walter Steven Schwartz Hearing Site: Phoenix, AZ
16-00824	05/23/2017	Claimant(s): Robert Lappin Claimant Lawyers(s): Alvin S. Tobias Respondent(s): Joseph Edwins Respondent Lawyers(s): Jake D. Curtis Arbitrator(s): Steven M. Guttell Hearing Site: Phoenix, AZ