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FINRA Awards for Kenneth E. Owen

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0139504/26/2022Claimant(s): Harmon Kong
Claimant Lawyers(s): Harris Freedman
Respondent(s): Fidelity Investments Institutional Srvcs
Respondent Lawyers(s): Thomas M. McHugh
Arbitrator(s): Kenneth E. Owen
Hearing Site: Los Angeles, CA
14-0229605/24/2016Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): Christian Wenger
Respondent Lawyers(s): Christian Sinclair Wenger
Arbitrator(s): Kenneth E. Owen
Hearing Site: Los Angeles, CA
13-0236809/19/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Raymond Calderon
Respondent Lawyers(s): Raymond Calderon
Arbitrator(s): Kenneth E. Owen
Hearing Site: Los Angeles, CA
12-0381609/16/2014Claimant(s): Harold Palacios
Claimant Lawyers(s): Harold Palacios
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Theresa M. Marchlewski
Arbitrator(s): Blaine Smith, Mark S. Priver, Kenneth E. Owen
Hearing Site: Los Angeles, CA
10-0111611/14/2011Claimant(s): Michael Di Pietro
Claimant Lawyers(s): Marie C. Mirch
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeffrey Compton
Arbitrator(s): Kenneth E. Owen, Larry Haugaard, Morris S. Getzels
Hearing Site: Los Angeles, CA
10-0165404/11/2011Claimant(s): James Mosher
Claimant Lawyers(s): James M. Mosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathleen M. McDowell
Arbitrator(s): David J. Anderson, Kenneth E. Owen, Randall N. Kirk
Hearing Site: Los Angeles, CA
09-0033502/24/2011Claimant(s): Araceli Fonseca
Claimant Lawyers(s): Marie C. Mirch
Respondent(s): Brett Saddler, Ameriprise Financial Services.
Respondent Lawyers(s): Katherine J. Stanton
Arbitrator(s): Kenneth E. Owen, Arthur T. Berggren, Richard William DeWeese
Hearing Site: Los Angeles, CA
08-0208112/16/2009Claimant(s): John Yarbrough
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Kenneth E. Owen, David W. Casey, Karen J. Burneff
Hearing Site: Los Angeles, CA

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