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FINRA Awards for Robert M Stein

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0396608/11/2022Claimant(s): Carol Howard
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Titan Securities
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Robert M Stein, Elwood C. Avery, Stephany Adriene Watson
Hearing Site: Seattle, WA
Checkmark IconExpungement
21-0170106/27/2022Claimant(s): Chiaki Kumazawa
Claimant Lawyers(s): Samuel Edwards
Respondent(s): Bancwest Investment Services.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Robert M Stein, Daniel M. Yamshon, Paul E. Dahlman
Hearing Site: Anchorage, AK
Checkmark IconDismissed by Rule 12206

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