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FINRA Awards for Lois O. Rosenbaum

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0037812/22/2009Claimant(s): Vasu Arora
Claimant Lawyers(s): Vasu D. Arora
Respondent(s): TD Ameritrade., Joseph Moglia
Respondent Lawyers(s): Brad S. Daniels, Lois O. Rosenbaum
Arbitrator(s): Gary A. Hooker, Thomas D. Reese, Jeffrey M. Allen
Hearing Site: San Francisco, CA
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