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FINRA Awards for Kevin J. Mirch

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0136011/22/2019Claimant(s): Terrance Arges
Claimant Lawyers(s): Kevin J. Mirch
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David S. Markun
Arbitrator(s): Steven A. Fox, Mitchell Lee Lathrop, Dan Deuprey
Hearing Site: San Diego, CA
12-0248410/09/2014Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Ashley T. Hirano
Respondent(s): Bradley Schmitt
Respondent Lawyers(s): Kevin J. Mirch
Arbitrator(s): Thomas Erique DuVoisin, Michael D. Briggs, Robert E. Witt
Hearing Site: San Diego, CA
09-0595803/07/2011Claimant(s): Octavio Torres
Claimant Lawyers(s): Kevin J. Mirch
Respondent(s): David Walker, Hartford Life Distributors f/k/a Planco
Respondent Lawyers(s): Jeffrey D. Hedlund
Arbitrator(s): Evan A. Gould, Thomas L. Marshall, Mack Reed Christian
Hearing Site: San Diego, CA
06-0494302/17/2010Claimant(s): Dann Neale, Kevin Cougle
Claimant Lawyers(s): Kevin J. Mirch
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Richard D. Rosenbloom, Joan B. Alexander, Frederick N.C. Jerauld
Hearing Site: Buffalo, NY

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