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FINRA Awards for Richard L. Warner

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Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0194211/06/2015Claimant(s): Nancy Jensen, Steven Jensen, Padre Resorts.
Claimant Lawyers(s): Bradd L. Milove, Jacob Pyle
Respondent(s): Erinn Ford, Mark McCloskey, Philip Pizelo, Shanon Ford, Willis Cole, Pacific West Securities.
Respondent Lawyers(s): Erinn June Ford, John A. Bender, Mark Thomas McCloskey, Philip A. Pizelo, Philip Anthony Pizelo, Shanon Lane Ford
Arbitrator(s): Elwood C. Avery, Richard L. Warner, Dante Lee Montoya
Hearing Site: Seattle, WA
Checkmark Icon$0
13-0157804/07/2015Claimant(s): Pamela Slyter
Claimant Lawyers(s): Terri A. Merriam
Respondent(s): Raymond Kempf, Kempf & Co., Transamerica Financial Advisors
Respondent Lawyers(s): Christopher B. Wells
Arbitrator(s): Robert M. Stein, Richard L. Warner, Al Van Kampen
Hearing Site: Seattle, WA
Checkmark Icon$201,533
13-0259102/13/2015Claimant(s): Anthony Fox, Susan Fox
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Richard L. Warner, Roy J. Moceri, Ann Sattler
Hearing Site: Seattle, WA
Checkmark IconExpungement
12-0072904/09/2013Claimant(s): Irene Kochendorfer
Claimant Lawyers(s): John Bender
Respondent(s): Philip Pizelo, Shanon Ford, William Swayne, Pacific West Securities., WMS Financial Planners
Respondent Lawyers(s): Chance Hodges
Arbitrator(s): G. E. Craig Doupe, Richard L. Warner, Charles Scott McClellan
Hearing Site: Seattle, WA
Checkmark IconExpungement
10-0037708/04/2011Claimant(s): Anne Erickson, Robert Erickson
Claimant Lawyers(s): Mark K. Davis
Respondent(s): Craig Johnsen, TD Ameritrade., Norman Price, Ronald Robertson, RP Capital LLC, Strategic Capital Group LLC
Respondent Lawyers(s): James J. Vihstadt, William E. Fitzharris
Arbitrator(s): John A. Bender, Thomas D. Cochran, Richard L. Warner
Hearing Site: Seattle, WA
Checkmark Icon$65,013
09-0478802/11/2010Claimant(s): John Matthews
Claimant Lawyers(s): John R. Matthews
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): James D. Vannah
Arbitrator(s): Richard L. Warner
Hearing Site: Seattle, WA
Checkmark Icon$0

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