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FINRA Awards for Joseph Winter

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Displaying 11-14 out of 14 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0167412/20/2016Claimant(s): George Kezios
Claimant Lawyers(s): Stephen J. Thomas
Respondent(s): Wells Fargo Advisors, Gregory Chachas
Respondent Lawyers(s): Judy Louie
Arbitrator(s): John Alen DeRosa, Michael D. Harrison, Joseph Winter
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
13-0053204/16/2014Claimant(s): Lingo Family Trust
Claimant Lawyers(s): E. Anthony Reguero
Respondent(s): Jim Lund, Robert Tweed, Capwest Securities., United Securities Alliance.
Respondent Lawyers(s): Dale K. Hall, H Thomas Fehn, Michael Jones
Arbitrator(s): Herbert Leslie Greenberg, Joseph Winter, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
Checkmark Icon$0
10-0268202/23/2012Claimant(s): James E Warwick and Barbara Rhea Warwick
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Frances E. Hubbell, Joseph Winter, Charles F. Boufford
Hearing Site: Jackson, MS
Checkmark Icon$0
99-0469406/04/2009Claimant(s): Suryakant & Sushila Patel
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Barbara Ralston, Charles Lazzaro, Drew Chalmers, First Wall Street Corp.
Respondent Lawyers(s): Christopher P. Mader, Cynthia M. Schleindl
Arbitrator(s): Steven Gourley, Luis R. Ruiz, Sheldon Stanford Ellis, Joseph Winter
Hearing Site: Phoenix, AZ
Checkmark IconExpungement

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