FINRA Awards for Kenneth J. Catanzarite

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Displaying 11-14 out of 14 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
14-01603	02/22/2016	Claimant(s): Richard Jensen, Jensen Enterprises. Claimant Lawyers(s): Han Le, Kenneth J. Catanzarite Respondent(s): John Misner Respondent Lawyers(s): Wright A. Noel Arbitrator(s): William P. Bergsten, Jonathan W. Kaiser, Paul R. Meyer Hearing Site: Seattle, WA		$0
14-02077	11/23/2015	Claimant(s): John Haas, Kathy Haas, NNN Parkway Corporate Plaza 5 Claimant Lawyers(s): Kenneth J. Catanzarite Respondent(s): Sagepoint Financial., Peter Shusterman Respondent Lawyers(s): Theodore C. Peters Arbitrator(s): Mary Elizabeth Geerdes, Daniel A. Seiver, Randall Brian Christison Hearing Site: San Diego, CA		Dismissed by Rule 12206
14-02075	07/17/2015	Claimant(s): Carole Smith, Michael Smith, NNN Parkway Corporate Plaza 10 Claimant Lawyers(s): Kenneth J. Catanzarite Respondent(s): John Notman, Berthel, Fisher & Company Financial Serv Respondent Lawyers(s): John Shaw Notman, Nicole Lomibao Arbitrator(s): William Ziering, Carol Ann Jensen, Arocles Aguilar Hearing Site: San Francisco, CA		Dismissed by Rule 12206
13-03734	05/14/2015	Claimant(s): Stanley Behrens Living Trust dtd July 8 Claimant Lawyers(s): Kenneth J. Catanzarite Respondent(s): Morgan Stanley, Rafael De Vengoechea, Sandra Rutan Respondent Lawyers(s): Debra (Volland) Achkire Arbitrator(s): Barbara M. Zak, Elliott Zachary Seff, Eric Gad Forster Hearing Site: Los Angeles, CA		Expungement