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FINRA Awards for Erik R. Siering

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Displaying 10 out of 18 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0157709/05/2024Claimant(s): Lester Berman
Claimant Lawyers(s): John Owen Murrin
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Erik R. Siering, Jeffrey L. Malek, Randall William Clow
Hearing Site: Los Angeles, CA
Checkmark Icon$0
22-0237501/19/2024Claimant(s): Lana Baselt, Estate of Randall Baselt
Claimant Lawyers(s): Jared Peterson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Scott E. Rahn
Arbitrator(s): Joseph Howard Cooper, Erik R. Siering, Olivia J. Valentine
Hearing Site: Los Angeles, CA
Checkmark IconDismissed by Rule 12212© and 12511(b)
20-0250301/20/2023Claimant(s): Alison Barrett, Robert Barrett
Claimant Lawyers(s): Robert D Mitchell
Respondent(s): Morgan Stanley, Kyle Backus
Respondent Lawyers(s): Suzette J. Barnes
Arbitrator(s): Erik R. Siering, Roger A. Geddes, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
Checkmark IconExpungement
22-0150312/20/2022Claimant(s): Adam Roberts, Adam Roberts 2018 Revocable Trust
Claimant Lawyers(s): Adam Roberts
Respondent(s): JPMSI
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
Checkmark Icon$0
18-0352407/30/2021Claimant(s): Sergio Praslin
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Investments
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Erik R. Siering, Eric Gad Forster, Steven H. Gentry
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
20-0062907/28/2020Claimant(s): Bancwest Investment Services.
Claimant Lawyers(s): Stephen Young
Respondent(s): Damante Ballard
Respondent Lawyers(s): Damante Ballard
Arbitrator(s): Erik R. Siering, Avery B. Goodman, Daniel Clay McGuire
Hearing Site: Las Vegas, NV
Checkmark Icon$0
18-0151508/08/2019Claimant(s): Jay Hu
Claimant Lawyers(s): Jay Z Hu
Respondent(s): Regal Securities.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Erik R. Siering, Andrew M. Mintzer, David L. Moran
Hearing Site: Las Vegas, NV
Checkmark Icon$0
17-0040710/15/2018Claimant(s): Marcia Berger, The Marcia Berger Brokerage Account, and, Marcia Berger IRA
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Elliott M. Rector
Arbitrator(s): Erik R. Siering, Robert F. Saint-Aubin, Damon Lovette Lewis
Hearing Site: Los Angeles, CA
Checkmark Icon$0
14-0368212/28/2016Claimant(s): Kevin Dwyer
Claimant Lawyers(s): Zshonette L. Reed
Respondent(s): Cullen Crabbe, Stephen Kipp, Kipp Financial Group.
Respondent Lawyers(s): Cullen Crabbe, H. Thomas Fehn
Arbitrator(s): Elliott David Finkel, Erik R. Siering, Daniel R. Brush
Hearing Site: Los Angeles, CA
Checkmark Icon$0
12-0299708/28/2014Claimant(s): Martha Meripol, Ronald Meripol, Martha L. Meripol IRA, Ronald P. Meripol IRA
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): LPL Financial LLC, Ewald Vonkanel
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Ralph H. Erickson, Erik R. Siering, Darrell Thomas Reed
Hearing Site: Los Angeles, CA
Checkmark IconExpungement

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