FINRA Awards for Susan J. Alexander

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Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
16-00589	05/17/2019	Claimant(s): Dana Smith Claimant Lawyers(s): Dana Smith Respondent(s): Anthony Minerva, Clayton Sontag, Daniel Dvorznak, Eric Arlt, Joseph Shea, Kenneth Fay, Nicholas Tsikitas Respondent Lawyers(s): Anthony Minerva, Clayton Robert Sontag, Daniel Dvorznak, Eric David Arlt, Joseph Shea, Kenneth Patrick Fay, Nicholas George Tsikitas Arbitrator(s): Jonathan H. Krotinger, Susan J. Alexander, Robert James Favole Hearing Site: San Francisco, CA		$0
13-00342	09/30/2014	Claimant(s): Cynthia Siegle Trust, DTD 6/26/1990 Claimant Lawyers(s): Steven D. Toskes Respondent(s): LPL Financial LLC Respondent Lawyers(s): David J. Freniere Arbitrator(s): Susan J. Alexander, Ralph L. Jacobson, Anne M. Lawlor Goyette Hearing Site: San Francisco, CA		Expungement
11-02623	02/12/2013	Claimant(s): Michael Myers, Susan Myers, Michael F. Myers MA Trust dtd 10/23/08, Michael F. Myers MA Trust dtd 12/3/08, Susan K. Myers Living Trust dtd 1/8/01, Susan Myers MA Trust dtd 7/11/08 Claimant Lawyers(s): Charles N. Freiberg Respondent(s): Deutsche Bank Securities., Oppenheimer & Co.., Karl Hahn Respondent Lawyers(s): Allan N. Taffet, Karl E. Hahn, Philip A. McLeod Arbitrator(s): Linda M. Deola, Jonathan H. Krotinger, Susan J. Alexander Hearing Site: San Francisco, CA		$934,193