FINRA Awards for Gregory Douglas Stone

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
19-02981	07/13/2020	Claimant(s): Brenda Rossman Claimant Lawyers(s): Adam Gana Respondent(s): Investment Architects. Respondent Lawyers(s): Chad Weaver Arbitrator(s): Mark Alan Sevigny, Gregory Douglas Stone, Carolyn Renee Payne Hearing Site: Los Angeles, CA		Dismissed by Rule 12206/12504
14-02368	10/05/2017	Claimant(s): Myron Allen, Myron Allen IRA Claimant Lawyers(s): Thomas Gruenbeck Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Eric A. Herzog Arbitrator(s): Richard M. Norman, Gregory Douglas Stone, Holly Banafsheh Hearing Site: Los Angeles, CA		$0
13-02039	06/19/2014	Claimant(s): Ruth Levine, Ruth R. Levine Living Trust Claimant Lawyers(s): Eric A. Woosley Respondent(s): Morgan Stanley & Co., Stephen Kally Respondent Lawyers(s): Chan H. Nam Arbitrator(s): Robert A. Lombardi, Richard M. Norman, Gregory Douglas Stone Hearing Site: Los Angeles, CA		Expungement
11-00986	12/21/2012	Claimant(s): Mansour Matloob, Mansour Matloob Trust dtd 10/08/2002 Claimant Lawyers(s): Jonathan W. Evans Respondent(s): John Marshall, RBC Capital Markets LLC Respondent Lawyers(s): Michael M. Gless Arbitrator(s): Ralph B. Perry, Peter J Cohen, Gregory Douglas Stone Hearing Site: Los Angeles, CA		Expungement