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FINRA Awards for Helen Marinak Blohm

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Displaying 11-20 out of 23 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0234711/06/2018Claimant(s): Ji Qiao Liang and Yuet Chun F Liang JT
Claimant Lawyers(s): Sherwin S Louie
Respondent(s): Carmen Iao, Cetera Investment Services LLC.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Honolulu, HI
Checkmark Icon$1,016
18-0064110/03/2018Claimant(s): Emmanuel Obel
Claimant Lawyers(s): Emmanuel Obel
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Alexander
Arbitrator(s): Helen Marinak Blohm, Gary S. DeWeese, Erik John Renga
Hearing Site: San Francisco, CA
Checkmark IconExpungement
17-0154705/24/2018Claimant(s): Peter Lawrence, The Norma S. Pappas Trust U/A 7/12/1993
Claimant Lawyers(s): Jeremy Scott Hyndman
Respondent(s): Bao Vu, TD Ameritrade., Steve Kim
Respondent Lawyers(s): Bruce M. Bettigole
Arbitrator(s): Helen Marinak Blohm, Dean J. Dietrich, Bradley C. Mitchell
Hearing Site: San Francisco, CA
Checkmark Icon$0
17-0267805/14/2018Claimant(s): Brian Evans
Claimant Lawyers(s): Brian Keith Evans
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Helen Marinak Blohm, William W. Haskell, Gregory M. Scanlon
Hearing Site: Honolulu, HI
Checkmark IconDismissed by Rule 12206
15-0031111/02/2015Claimant(s): Margaret Lucas
Claimant Lawyers(s): John R. Bobay
Respondent(s): Manning & Napier Investor Services.
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Helen Marinak Blohm, Debra Brothers Self, Philip Ho
Hearing Site: San Francisco, CA
Checkmark Icon$0
14-0234312/26/2014Claimant(s): Jeffrey Goodman
Claimant Lawyers(s): Jeffrey A Goodman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Honolulu, HI
Checkmark Icon$0
13-0285804/01/2014Claimant(s): Mark Cote
Claimant Lawyers(s): Mark Cote
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
Checkmark Icon$0
12-0112909/25/2012Claimant(s): Paul Cottrell
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John Starnes
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Birmingham, AL
Checkmark Icon$25,425
10-0567711/28/2011Claimant(s): Cynthia Stirling, Cynthia L. Stirling IRA Rollover, Cynthia L. Stirling SEP IRA, Cynthia L. Stirling Living Trust, Cynthi
Claimant Lawyers(s): James R. Walsh
Respondent(s): Wells Fargo Advisors, James Dowley
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Helen Marinak Blohm, Mary Curran, Ferdinand Schoch
Hearing Site: San Francisco, CA
Checkmark Icon$0
10-0016811/11/2011Claimant(s): Chris Williams, David Beecham, Deborah Williams, Jerry Davidson, Jessie Beecham, Kathleen Davidson, Class Action Watch, David Beecham IRA, Jessie Beecham IRA, Davidson Family Trust UADTD 10.27.1979, Williams Family Trust
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management, In, The Charles Schwab Corporation
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Helen Marinak Blohm, Gary A. Hooker, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
Checkmark IconExpungement

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