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FINRA Awards for Edward S. Zusman

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Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0205506/18/2019Claimant(s): David Hollander
Claimant Lawyers(s): Edward S. Zusman
Respondent(s): Stephen Hom
Respondent Lawyers(s): Marnie C. Lambert
Arbitrator(s): Laurel Littman Gothelf, Alden Sharp Adkins, Shahla F. Ali
Hearing Site: San Francisco, CA
Checkmark IconExpungement
17-0174111/15/2018Claimant(s): Jose Calderon
Claimant Lawyers(s): Kenneth Catanzarite
Respondent(s): Eric Marlin, Michael Cruz, Robert Hicks, Finance 500.
Respondent Lawyers(s): Brandon S. Reif, Edward S. Zusman, Jeffrey S. Kob
Arbitrator(s): Robert D. Sussin, Thomas E. Shuck, H. Stuart Waxman
Hearing Site: Los Angeles, CA
Checkmark Icon$0
11-0465511/13/2014Claimant(s): CDC TIC 21, Warren Family Trust
Claimant Lawyers(s): Kirk Smith
Respondent(s): Toni Sutherland
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Laurel Littman Gothelf, Robert H. Cornell, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
Checkmark IconExpungement
10-0388602/02/2012Claimant(s): P. Anne Giannini
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): David McClurg, Joseph Niederkorn, Raymond Lent, Tracy McClurg, McClurg Capital Corporation, The McClurg Family Trust
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Thomas J. LoSavio, Michelle Judy Brant, James D. Murray
Hearing Site: San Francisco, CA
Checkmark Icon$23,000
07-0270803/02/2011Claimant(s): Carol Flier, Nicole Flier, First Savings Bank C/F Dennis Flier IRA, Dennis Flier. Defined Benefit Trust, Flier Family Trust DTD 1/21/98
Claimant Lawyers(s): Dennis Flier
Respondent(s): Financial West Group
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Barry A. Mainardi, Robert Rosen, Philip H. Marmurowski
Hearing Site: Las Vegas, NV
Checkmark Icon$0
07-0114411/28/2008Claimant(s): Judith Fogel
Claimant Lawyers(s): Joseph S. Fogel
Respondent(s): Financial West Group, Marc Tucker
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Vaughn Thomas Hale, Robert H. Wrenn, Willard H. Altman
Hearing Site: Los Angeles, CA
Checkmark IconExpungement

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