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FINRA Awards for E*Trade Securities LLC

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Displaying 141-150 out of 262 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0131912/18/2012Claimant(s): Arvind Kochar
Claimant Lawyers(s): Mahendr S. Kochar
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Peter D. Steinbroner
Hearing Site: Los Angeles, CA
Checkmark Icon$0
11-0450011/20/2012Claimant(s): Leonard Kayiwa
Claimant Lawyers(s): Leonard M. Kayiwa
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Michael Nathanson, Sondra Sellars, Scott E. Smith
Hearing Site: Chicago, IL
Checkmark Icon$0
12-0157511/16/2012Claimant(s): Cheng Teo, Judy Teo
Claimant Lawyers(s): Cheng Chai Teo
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): J. Martin McDonough
Hearing Site: New York, NY
Checkmark Icon$0
12-0155310/17/2012Claimant(s): Kenneth Volz, Nancy Volz
Claimant Lawyers(s): Kenneth H. Volz, Nancy M. Volz
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
Checkmark Icon$0
11-0001310/16/2012Claimant(s): Marc Henig
Claimant Lawyers(s): Marc Henig
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Christina Kallas
Hearing Site: New York, NY
Checkmark IconDismissed by Rule 12206
12-0049810/03/2012Claimant(s): Kirk Baerwaldt and Maxine Baerwaldt
Claimant Lawyers(s): Kirk Baerwaldt
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Las Vegas, NV
Checkmark Icon$0
12-0132308/28/2012Claimant(s): Simon Shortman, Simon P. Shortman and Rebecca W. Shortma
Claimant Lawyers(s): Rose M. Schindler
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Walter P. Hitchcock
Hearing Site: San Francisco, CA
Checkmark Icon$0
12-0039308/01/2012Claimant(s): Ramin Modiri, Tahmineh Modiri
Claimant Lawyers(s): Ramin Modiri
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): James S. Martin
Hearing Site: San Francisco, CA
Checkmark Icon$0
11-0294507/26/2012Claimant(s): Fred Prudhomme
Claimant Lawyers(s): James A. McGurk
Respondent(s): Arnold Janickas, E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Ray J. Grzebielski, Caroline N. Harney, Michael R. Sherwin
Hearing Site: Chicago, IL
Checkmark Icon$140,300
09-0560607/12/2012Claimant(s): John Taimanglo
Claimant Lawyers(s): John Taimanglo
Respondent(s): E*Trade Securities LLC, E*Trade Clearing LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Joel P. Mellis, Bernard J. McGuire, Salvatore J. Bate
Hearing Site: New York, NY
Checkmark Icon$0

262 Results

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