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FINRA Awards for James N. D'Orso

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0256808/28/2012Claimant(s): Herman Shine, Marianne Shine
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Wells Fargo Investments, Patrick Briggs, Ray Seewer, Stephen Seewer
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): James N. D'Orso, Edwin C. Shiver, Herbert L. Brown
Hearing Site: San Francisco, CA
Checkmark IconExpungement
12-0030108/08/2012Claimant(s): Ann Wilson
Claimant Lawyers(s): Ann Pulford Wilson
Respondent(s): Chase Investment Services Corp., Geetika Mehrotra
Respondent Lawyers(s): Erika Imre Schindler
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
Checkmark IconExpungement
10-0566111/14/2011Claimant(s): Mark Feldberg Separate Property Trust
Claimant Lawyers(s): Mark Feldberg
Respondent(s): GBS Financial Corp.
Respondent Lawyers(s): Donald G. Gloisten
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
Checkmark Icon$0
10-0254412/17/2010Claimant(s): Dorothy L. Bailey
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Avital Stadler
Arbitrator(s): James N. D'Orso
Hearing Site: Memphis, TN
Checkmark Icon$213
10-0026611/10/2010Claimant(s): Sara Reed
Claimant Lawyers(s): Irwin Stein
Respondent(s): Kimon Daifotis, Charles Schwab & Co.., Randall Merk
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
Checkmark IconExpungement
07-0306410/04/2010Claimant(s): Lynn Monteverde, Monteverde Investments
Claimant Lawyers(s): Joel A. Goodman
Respondent(s): Hornor, Townsend & Kent.
Respondent Lawyers(s): Margaret F. Swetman
Arbitrator(s): James N. D'Orso, Fred D. Butler, Richard Conlon Lehrmann
Hearing Site: Reno, NV
Checkmark Icon$163,250
09-0699707/22/2010Claimant(s): Paul L. Mechetti, IRA, Paul L. & Arlene A. Mechetti Fam. Tr.
Claimant Lawyers(s): Paul L. Mechetti
Respondent(s): Jennifer Johnston, Banc of America Investment Services Inc.
Respondent Lawyers(s): Eric Glassman
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
Checkmark Icon$5,713
09-0298311/06/2009Claimant(s): Marc Hanish
Claimant Lawyers(s): Marc Hanish
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin K. Fair
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
Checkmark Icon$0

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