FINRA Awards for David Nielsen

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
10-05092	02/26/2014	Claimant(s): Morgan Stanley Claimant Lawyers(s): Timothy N. Will Respondent(s): Scott Burns Respondent Lawyers(s): Leonard Steiner Arbitrator(s): Howard A. Emirhanian, Martin J. Kotowski, David Nielsen Hearing Site: Los Angeles, CA
08-04707	11/22/2010	Claimant(s): Kayvan Karoon, Karoon Capital Markets. (dba) Claimant Lawyers(s): Philip L. Guarino Respondent(s): Albert Johnson, Jack Handy, John Simmers, Financial Network Investment Corporation, ING Advisors Network Respondent Lawyers(s): David S. Goldstein, Donald H. Chase, Evan Lupion Arbitrator(s): Philip W. Burge, Tina L. Mitchell, David Nielsen Hearing Site: Los Angeles, CA
08-04981	10/07/2009	Claimant(s): Carlo Carrion Claimant Lawyers(s): Carlo A. Carrion Respondent(s): Craig Watanabe, Donald Bizub, Jon Hogen, Western International Securities. Respondent Lawyers(s): Jeffrey K. Compton Arbitrator(s): Erik R. Siering, Mary M. O'Neil, David Nielsen Hearing Site: Los Angeles, CA
07-00107	05/02/2008	Claimant(s): Edward Satlin, Micah Scheinberg Claimant Lawyers(s): Rodney J. Heggy Respondent(s): Goldman, Sachs and Company Respondent Lawyers(s): Robin D. Fessel Arbitrator(s): Jeffrey E. Skogsbergh, Robert Bruce MacDonald, David Nielsen Hearing Site: Los Angeles, CA