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FINRA Awards for Robert W. Topp

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Displaying 7 out of 7 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0276602/17/2015Claimant(s): Glen Lyon Long-Term Options
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Interactive Brokers Llc
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Stuart H. Dunn, Carl F. Bowmer, Peter H. Goldberg
Hearing Site: Richmond, VA
Checkmark Icon$666,618
12-0334310/14/2014Claimant(s): Bijan Dokhanian, Michael Sadeghan, Shahdokht Dokhanian, Sean and David Sadgan, S&B Dokhanian Family Trust U/T/A 10/3/05
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Ascendant Asset Advisors., Interactive Brokers LLC
Respondent Lawyers(s): Burton Mark Senkfor, Robert W. Topp
Arbitrator(s): Arthur F. Brueggeman, Robert B. Hansohn, John Marius Baker
Hearing Site: Los Angeles, CA
Checkmark Icon$800,000
12-0026806/06/2014Claimant(s): Alan Stephen, Anthony Cowan, Elling Halvorson, Jennifer Cowan, Jon Michael Smith, Rachel Smith, Scott Tomy, Stacie Gorder, Steve Gorder, Jon-Michael P Smith, IRA
Claimant Lawyers(s): John J. Tollefsen
Respondent(s): Richard Finger, Black Diamond Securities LLC, Interactive Brokers LLC
Respondent Lawyers(s): Joseph S. Owens, Richard Allan Finger, Robert W. Topp
Arbitrator(s): Robert M. Stein, Philip E. Cutler, Todd A. Bloom
Hearing Site: Seattle, WA
Checkmark Icon$100,000
12-0054004/17/2014Claimant(s): Alma Kern, James Kern, John Kern, James & John Foundation, Kern Family LLC
Claimant Lawyers(s): John A. Bender
Respondent(s): Phillip Frink, Richard Finger, Interactive Brokers LLC
Respondent Lawyers(s): Ralph H. Palumbo, Richard A. Finger, Robert W. Topp
Arbitrator(s): Joseph C. Roberts, T. Dennis George, John P. Payseno
Hearing Site: Seattle, WA
Checkmark Icon$3,048,200
12-0262607/24/2013Claimant(s): David Broadwell, David W. Broadwell Revocable Trust
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Gerald Silverman
Hearing Site: Ft. Lauderdale, FL
Checkmark Icon$56,625
12-0433707/10/2013Claimant(s): Susan Ritter
Claimant Lawyers(s): Susan Ritter
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
Checkmark Icon$300
11-0412511/20/2012Claimant(s): Matt Correia, Dapelo & Correia Capital Investors
Claimant Lawyers(s): Matt Correia
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Alan Stamm, Theodore G. Bradpiece, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
Checkmark Icon$0

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