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FINRA Awards for Donald S. Simons

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0122103/17/2010Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): James Phillips
Respondent Lawyers(s): Richard Sacks
Arbitrator(s): Donald S. Simons, W. Alex King, Anna Marie Turco
Hearing Site: Los Angeles, CA
04-0860512/10/2007Claimant(s): James Murray
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jodi S. Cohen
Arbitrator(s): Stephen Brixey, Donald S. Simons, Mario H. Metzger
Hearing Site: Los Angeles, CA
05-0645012/07/2007Claimant(s): Ronald Goldman
Claimant Lawyers(s): William R. Lindsley
Respondent(s): Wachovia Securities, Terry Chase
Respondent Lawyers(s): G. Thomas Fleming, Sheryl Skibbie
Arbitrator(s): Donald S. Simons, Robert S. Fash, Robert E. Jenks
Hearing Site: Los Angeles, CA

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