FINRA Awards for Karen A. Lockwood

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
13-00187	12/03/2013	Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Audette Paul Morales Respondent(s): Barry Belmont, Gordon Belmont, Lock Haven Industrial Park Inc., Towne Center Properties Inc., JLB/JAB Limited Partnership, GST Exempt Marital Trust, GST Exempt Residuary Trust, GST Non-Exempt Marital Trust Respondent Lawyers(s): Barry Belmont, Gordon L. Belmont Arbitrator(s): David J. Anderson, Laurent C. Vonderweidt, Karen A. Lockwood Hearing Site: Los Angeles, CA		Expungement
12-00936	11/29/2012	Claimant(s): Fariba Madison Claimant Lawyers(s): Steve A. Buchwalter Respondent(s): Rita Kennann Respondent Lawyers(s): Arline P. Vezina Arbitrator(s): A. Joel Klein, Joyce L. Hurley, Karen A. Lockwood Hearing Site: Los Angeles, CA		Expungement
10-04115	06/21/2012	Claimant(s): Lehman Brothers Holdings. Claimant Lawyers(s): Barry S. Gold Respondent(s): Kevin Kramer Respondent Lawyers(s): Edward S. Zusman Arbitrator(s): Audrey H. Ruben, Karen A. Lockwood, Robert B. Hansohn Hearing Site: Los Angeles, CA
06-04649	04/06/2009	Claimant(s): Diane Brewer Claimant Lawyers(s): Jules Leo Federman Respondent(s): Keith Waibel, Timothy Tremblay Respondent Lawyers(s): Jerry J. Howard, Robyn C. Crowther Arbitrator(s): Karen A. Lockwood, Joseph C. Watson, Thomas R. Watkins Hearing Site: Los Angeles, CA