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FINRA Awards for Richard L. Martens

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Displaying 10 out of 11 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0018812/02/2013Claimant(s): Deborah Stubbs, Harold Thomas, Victoria Smith
Claimant Lawyers(s): Andrew V. Tramont, Lawrence A. Kellogg
Respondent(s): Jose Valenzuela, PFS Investments Inc.
Respondent Lawyers(s): Mark F. Raymond, Richard L. Martens
Arbitrator(s): Roy B. Gonas, Lawrence S. Silver, Sidney J. Wartel
Hearing Site: Miami, FL
Checkmark Icon$585,908
12-0356410/17/2013Claimant(s): Apostle Solomon
Claimant Lawyers(s): Randall C. Place
Respondent(s): Adam Rosenfeld, Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge, Richard L. Martens
Arbitrator(s): Mark C. Perry, Edward R. Niederriter, Ken Ziesenheim
Hearing Site: Miami, FL
Checkmark IconExpungement
12-0036106/04/2013Claimant(s): Bernetta DeShazior
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Lawrence Cook, PFS Investments Inc.
Respondent Lawyers(s): Mark F. Raymond, Richard L. Martens
Arbitrator(s): Thomas Czinner, William R. Alheim, Paul Chernis
Hearing Site: Miami, FL
Checkmark Icon$187,500
11-0475104/12/2013Claimant(s): Robert Schneider
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Kenneth Hobbs, PFS Investments Inc.
Respondent Lawyers(s): Mark F. Raymond, Richard L. Martens
Arbitrator(s): Joseph L. Bernstein, Nancy J. Cliff, Richard S. Herman
Hearing Site: Miami, FL
Checkmark Icon$0
11-0237502/20/2013Claimant(s): Dorothy Miller, Sam Miller, Dorothy J. Miller IRA, Dr. Sam S. Miller IRA, Ms. Dorothy J. and Dr. Sam S. Miller, Dr. Sam S. Miller Trust, Ms. Dorothy J. Miller Trust
Claimant Lawyers(s): Sylvan S. Lang
Respondent(s): Edwin Fulkerson, Charles Schwab & Co..
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Robert M. Birenbaum, Donald K. Eckhardt, Larry J. Craddock
Hearing Site: Houston, TX
Checkmark IconStipulated Award and Expungement
10-0536501/28/2013Claimant(s): Lueny Bobadilla, Waldemar Ramirez
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc., Santander Securities
Respondent Lawyers(s): Richard L. Martens, Roberto C. Quinones-Rivera
Arbitrator(s): Steven Gerard Goerke, Elena G. Rodriguez, Charles Hoffman
Hearing Site: San Juan, PR
Checkmark IconExpungement
09-0001112/04/2012Claimant(s): Steven Dworkin
Claimant Lawyers(s): Seth Huberman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Myron S. Dunay, Charles Hoffman, Jeffrey Lawrence Sarkin
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
10-0507808/28/2012Claimant(s): MorseLife Foundation.
Claimant Lawyers(s): Steven M. Katzman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Bank & Trust Company, FSB
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Roy B. Gonas, Jeanne Charles Wood, Sidney Turner
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
11-0194504/25/2012Claimant(s): Thurman Ross
Claimant Lawyers(s): Jeffrey B Kaplan
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Simone Sicola, Kenneth J. Bennett, Susan Jefferbaum Beck
Hearing Site: Jacksonville, FL
Checkmark IconStipulated Award and Expungement
08-0458607/21/2011Claimant(s): Daniel Staton, Staton Family Investments, Ltd.
Claimant Lawyers(s): Martin P. Russo
Respondent(s): Christopher Jacobs, Gerald Schwinn, James Dickson, Margot Dwyer, Merrill Lynch Pierce Fenner & Smith Inc., The Jacobs Team
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Frances D. Sheehy, Morton D. Siegel, Allen Robin
Hearing Site: Boca Raton, FL
Checkmark Icon$0

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