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FINRA Awards for Richard J. Lawrence

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Displaying 9 out of 9 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0349502/15/2022Claimant(s): Diane Sagrillo, Robert Sagrillo
Claimant Lawyers(s): Jason J. Kane
Respondent(s): David Turner, John Vansant, Cascade Financial Management.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Richard J. Lawrence, Baldwin Ranson, Eileen Joan Carpenter
Hearing Site: Denver, CO
Checkmark IconExpungement
14-0269407/15/2016Claimant(s): Larry and Carol Wiles, ATBE
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Steven M. Feder, Richard J. Lawrence, Wylie G. Hairgrove
Hearing Site: Denver, CO
Checkmark IconExpungement
15-0047412/21/2015Claimant(s): Robert Rohan, Robert C. Rohan Family Partnership, LLLP
Claimant Lawyers(s): Robert C Rohan
Respondent(s): Vontobel Securities LTD
Respondent Lawyers(s): Gregory F. Hauser
Arbitrator(s): Richard J. Lawrence
Hearing Site: Salt Lake City, UT
Checkmark Icon$0
14-0068412/09/2014Claimant(s): G. Judd
Claimant Lawyers(s): Jan Graham
Respondent(s): William Loucks, Secu Brokerage Services
Respondent Lawyers(s): Michael L. Weisel, Wm. Kelly Nash
Arbitrator(s): Richard J. Lawrence
Hearing Site: Salt Lake City, UT
Checkmark IconDismissed by Rule 12206
10-0274509/22/2011Claimant(s): Ingrid Scolet, Joe Scolet, Services on the Move
Claimant Lawyers(s): Christopher P. Porter
Respondent(s): Edward Jones
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Richard J. Lawrence, Harry L. Striplin, Nina Vallion
Hearing Site: Boise, ID
Checkmark IconExpungement
09-0296109/27/2010Claimant(s): Grant Gifford, Healthright Partners
Claimant Lawyers(s): Mark W. Pugsley
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Heidi G. Goebel
Arbitrator(s): Richard J. Lawrence, Clifford N. Coury, Joseph J. Palmer
Hearing Site: Salt Lake City, UT
Checkmark Icon$4,424,460
09-0205407/09/2010Claimant(s): Brett Eliason, E. Finch, Veronique Eliason, Daydream Trading, NBF Capital
Claimant Lawyers(s): Matthew R. Lewis
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): A. O. Headman, Richard J. Lawrence, Thomas R. Bromberg
Hearing Site: Salt Lake City, UT
Checkmark Icon$6,924,500
08-0065807/30/2009Claimant(s): Jonathan Horne, Patricia Horne, JPH Enterprises, Vance B. Forsgren Family Trust
Claimant Lawyers(s): Jerome Romero
Respondent(s): Albert Alvey, Kevin Kunz, Investment Management Corporation
Respondent Lawyers(s): Kevin D. Kunz, William H. Christensen
Arbitrator(s): Richard J. Lawrence, John G. Manley, James D. Searles
Hearing Site: Salt Lake City, UT
Checkmark Icon$500,375
05-0652506/18/2008Claimant(s): George Busse, Yvonne Busse, George D. Busse Trust
Claimant Lawyers(s): Lawrence L. Klayman
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): Curt Roy Hineline
Arbitrator(s): John E. Plock, Richard J. Lawrence, Martha Jeanne Wilcoxson
Hearing Site: Cheyenne, WY
Checkmark Icon$0

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