FINRA Awards for Douglas W. Oldfield

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
17-00087	11/24/2017	Claimant(s): Michael Rom Claimant Lawyers(s): Robert L. Gonser Respondent(s): Philip Steele, First Financial Services LLC Respondent Lawyers(s): Jeffrey L. Fillerup Arbitrator(s): Douglas W. Oldfield, Barbara M. Anscher, Jeffrey Scott Winaker Hearing Site: San Francisco, CA
13-00509	10/30/2014	Claimant(s): Alex Vitale Claimant Lawyers(s): Howard E. King Respondent(s): Deutsche Bank Securities. Respondent Lawyers(s): Kenneth J. Turnbull Arbitrator(s): Douglas W. Oldfield, Pamela S. Mann, Louis Anthony Napoli Hearing Site: San Francisco, CA
08-04812	06/13/2013	Claimant(s): Gary Cattich Claimant Lawyers(s): Gary Cattich Respondent(s): Wachovia Securities Respondent Lawyers(s): Kevin J. Woods Arbitrator(s): Jarrott T. Miller, Douglas W. Oldfield, Edwin C. Shiver Hearing Site: San Francisco, CA
11-01834	05/09/2012	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Jessica G. Klein Respondent(s): Kyle Roulet Respondent Lawyers(s): Kyle Daniel Roulet Arbitrator(s): Douglas W. Oldfield Hearing Site: San Francisco, CA