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FINRA Awards for Steven K. McGinnis

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0070802/03/2010Claimant(s): The Horowitz Family Trust
Claimant Lawyers(s): Robyn C. Crowther
Respondent(s): Jerry Anderson, E*Trade Securities LLC, Marcus Hernandez, Robert Trent, Steven Christensen
Respondent Lawyers(s): Lonnie L. Simpson
Arbitrator(s): Robin Lynn Berry, Steven K. McGinnis, John J. Shook
Hearing Site: San Francisco, CA
Checkmark Icon$643,950
07-0014804/23/2008Claimant(s): JT Builders, Joseph Toboni and Mary Toboni
Claimant Lawyers(s): David E. Robbins
Respondent(s): Milestone Financial Services
Respondent Lawyers(s): Barry R. Lax
Arbitrator(s): Steven M. Sherman, Darryl J. Horowitt, Steven K. McGinnis
Hearing Site: San Francisco, CA
Checkmark Icon$0
06-0061812/17/2007Claimant(s): Steven Thompson
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Thomas D. Reese, Dean J. Dietrich, Steven K. McGinnis
Hearing Site: San Francisco, CA
Checkmark Icon$0

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