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FINRA Awards for Ronald S. Herzog

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0035002/24/2017Claimant(s): Dennis Harlow
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Brian Hagerman, John Matthews, Niaz Elmazi
Respondent Lawyers(s): Brian Joseph Hagerman, Niaz Elmazi, Ronald S. Herzog
Arbitrator(s): William L. Cravens, Michael A. Kleinman, Elizabeth Sharp Lynch
Hearing Site: Kansas City, MO
Checkmark Icon$298,737
15-0178405/19/2016Claimant(s): Mark Altstetter
Claimant Lawyers(s): Mark H. Altstetter
Respondent(s): Englebert Sarmiento, John Matthews
Respondent Lawyers(s): Ian J. Frimet, Ronald S. Herzog
Arbitrator(s): James John Jurinski
Hearing Site: Portland, OR
Checkmark Icon$38,428
14-0002912/03/2015Claimant(s): Irving Nast
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Brian Hagerman, John Matthews, Equities Trading Corporation, Global Arena Capital Corp, Joseph Gunnar & Co.
Respondent Lawyers(s): John E. Lawlor, Ronald S. Herzog
Arbitrator(s): Edward J. Costello, Alan M. Rosen, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
Checkmark Icon$0

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