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FINRA Awards for Arthur E. Otten

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0206002/07/2014Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Doris Bell Cogswell Morfit Trust
Respondent Lawyers(s): Alan C. Friedberg
Arbitrator(s): Arthur E. Otten, Dominic Alecci, Martha Jeanne Wilcoxson
Hearing Site: Denver, CO
Expungement
09-0555108/09/2011Claimant(s): Michael Ohlfs
Claimant Lawyers(s): George C. Aucoin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Jesse L. Miller
Arbitrator(s): Arthur E. Otten, Anita Rae Shapiro, Avery B. Goodman
Hearing Site: Denver, CO
07-0301207/13/2009Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Richard J. Babnick
Respondent(s): Roger May
Respondent Lawyers(s): Thomas D. Birge
Arbitrator(s): Arthur E. Otten, Mary C. Davis, Patricia Mary Vondra
Hearing Site: Denver, CO

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