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FINRA Awards for Edwin C. Shiver

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0407511/20/2013Claimant(s): Gai 08 Trust Under Agreement dd 10/15/08
Claimant Lawyers(s): Steven A. Clair
Respondent(s): Casey Knowles, Morgan Stanley & Co.
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Jonathan Holman Hathaway, Juleanne A. Thiebaut, Edwin C. Shiver
Hearing Site: San Francisco, CA
Checkmark IconExpungement
10-0272601/16/2013Claimant(s): Megan Steel, Keith M. Steel and Anpei Lin, Community
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Richard B. Bullock, Jonathan H. Krotinger, Edwin C. Shiver
Hearing Site: San Francisco, CA
Checkmark IconExpungement
11-0428201/04/2013Claimant(s): Herman Fitzgerald
Claimant Lawyers(s): Nicholas A. Rogers
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Frank R Weaver, Edwin C. Shiver, Ralph L. Jacobson
Hearing Site: San Francisco, CA
Checkmark IconExpungement
10-0394110/08/2012Claimant(s): Gerhard Rohloff, Gerhard Rohloff Living Trust dd 7/11/05
Claimant Lawyers(s): Christopher P. Mader
Respondent(s): Jeffrey Arburn, Impact Financial Management, Whitehall-Parker Securities.
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Herbert Liberman, Edwin C. Shiver, Mark Aaron Jones
Hearing Site: San Francisco, CA
Checkmark IconExpungement
09-0038711/24/2010Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A. Karoly
Respondent(s): Trevor Templar
Respondent Lawyers(s): Trevor Rodrigues Templar
Arbitrator(s): Dean J. Dietrich, Stanford G. Hirata, Edwin C. Shiver
Hearing Site: San Francisco, CA
Checkmark Icon$0
09-0147002/18/2010Claimant(s): Naresh K. Jain and Santosh K. Jain
Claimant Lawyers(s): Naresh K. Jain
Respondent(s): Scottrade.
Respondent Lawyers(s): Thomas J. Azar
Arbitrator(s): Helen Marinak Blohm, Andrew R. Epstein, Edwin C. Shiver
Hearing Site: San Francisco, CA
Checkmark Icon$0
08-0464612/09/2009Claimant(s): H. Roark & Associates.
Claimant Lawyers(s): Brad M. Johnston
Respondent(s): PowerChem LLC
Respondent Lawyers(s): Stephen Coontz
Arbitrator(s): Edwin C. Shiver, Fred D. Butler, Sean B. Meehan
Hearing Site: Reno, NV
Checkmark Icon$0
06-0520203/06/2008Claimant(s): David Hubert
Claimant Lawyers(s): Fred Rucker
Respondent(s): Donald Kellen, J.P. Morgan Securities
Respondent Lawyers(s): Bentley P. Stansbury
Arbitrator(s): Edwin C. Shiver, Ivan Claman, Elizabeth Anne Moreno
Hearing Site: Los Angeles, CA
Checkmark Icon$0

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