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FINRA Awards for Samuel B. Edwards

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Displaying 11-20 out of 33 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0127812/21/2021Claimant(s): Hajime Amaya
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Herbert Liberman, Herb Schwartz, Peter H. Daly
Hearing Site: San Francisco, CA
Checkmark IconDismissed by Rule 12206
20-0211612/17/2021Claimant(s): The Evan Cole Revocable Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): First Republic Investment Management Inc, First Republic Securities Company
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Ronald L. Cameron, Richard M. Norman, Robert B. Hansohn
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
20-0166912/09/2021Claimant(s): Lacey Keath
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Jack Chapline Vaughan, Allan R. Lazor, James Douglas Gaughan
Hearing Site: Houston, TX
Checkmark Icon$4,000,000
20-0178708/23/2021Claimant(s): Allison Walk, Stephen Walk
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Lawrence E. Dube, Peter H. Goldberg, Anitra Oluonye
Hearing Site: Baltimore, MD
Checkmark Icon$405,000
19-0150508/17/2020Claimant(s): Joshua Travis Anue Trust, Tenaya Laurel Anue Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Robert James Wilkie
Hearing Site: San Francisco, CA
Checkmark Icon$189,009
19-0002105/14/2020Claimant(s): Earnest Frederick, Timothy Moeller
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): LPL Financial LLC, First National Bank of Shiner
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Mary Esther Escobedo, Montie G. Grimes, Shannon Lyn Mays
Hearing Site: Houston, TX
Checkmark Icon$0
18-0052809/04/2019Claimant(s): Hermann Spranger, II IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Adam M. Wenner
Arbitrator(s): Patrick R. Sughroue, Terrance J. Dorcy, Mark Scarr
Hearing Site: Detroit, MI
Checkmark Icon$0
17-0123003/20/2019Claimant(s): Richard Malouf, Stephanie Malouf, Gavin J. Malouf, Richard J. Malouf II, Sunny N. Malouf, Richard John Malouf IRA, Stephenie Leanne Malouf IRA, 2009 Strait Lane Family LP, RJM 2008 Irrevocable Trust, Richard John Malouf II Trust, Stephenie L. Malouf TTEE U/A
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Monteiro
Arbitrator(s): Mark L. Williams, Mary Elizabeth Skelnik, Zachary Charles Haston
Hearing Site: Dallas, TX
Checkmark IconExpungement
15-0238712/14/2018Claimant(s): El Capitan Limited Corporation
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil Baritz
Arbitrator(s): Jeffrey M. Allen, Lawrence R. Mills, Anne M. Lawlor Goyette
Hearing Site: San Francisco, CA
Checkmark Icon$0
13-0352002/17/2017Claimant(s): Luis Romero Lopez, Luis R. Romero Lopez Pledged Collateral
Claimant Lawyers(s): Luis J. Acevedo-Bengoechea, Samuel B. Edwards
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Donald F. Winningham, Roberto C. Quinones-Rivera
Arbitrator(s): Joyce F. Glucksman, Reinaldo Royo, Robert J. Buchner
Hearing Site: San Juan, PR
Checkmark Icon$10,000,000

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