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FINRA Awards for San Francisco, CA

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Displaying 251-260 out of 487 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0262302/12/2013Claimant(s): Michael Myers, Susan Myers, Michael F. Myers MA Trust dtd 10/23/08, Michael F. Myers MA Trust dtd 12/3/08, Susan K. Myers Living Trust dtd 1/8/01, Susan Myers MA Trust dtd 7/11/08
Claimant Lawyers(s): Charles N. Freiberg
Respondent(s): Deutsche Bank Securities., Oppenheimer & Co.., Karl Hahn
Respondent Lawyers(s): Allan N. Taffet, Karl E. Hahn, Philip A. McLeod
Arbitrator(s): Linda M. Deola, Jonathan H. Krotinger, Susan J. Alexander
Hearing Site: San Francisco, CA
Checkmark Icon$934,193
09-0387102/04/2013Claimant(s): Xiaohua Qu
Claimant Lawyers(s): Michael J. Maloney
Respondent(s): Deutsche Bank Securities., William Svoboda
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Michelle Judy Brant, Richard B. Bullock
Hearing Site: San Francisco, CA
Checkmark IconExpungement
10-0150101/31/2013Claimant(s): Adela Pena, Connie Johnson, Karrell Wood, Lauro Pena, Philip Ashburn, William Percy
Claimant Lawyers(s): Melinda Jane Steuer, Scott R. Shewan
Respondent(s): Sagepoint Financial., Sharon Kearney
Respondent Lawyers(s): Dennis J. Kelly, Mark J. Hancock
Arbitrator(s): William Ziering, Carl B. Noelke, Mario Singleton
Hearing Site: San Francisco, CA
Checkmark Icon$0
12-0163101/31/2013Claimant(s): Daniel Mytels
Claimant Lawyers(s): Daniel R. Mytels
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Paul D. Gutierrez
Hearing Site: San Francisco, CA
Checkmark Icon$0
10-0272601/16/2013Claimant(s): Megan Steel, Keith M. Steel and Anpei Lin, Community
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Richard B. Bullock, Jonathan H. Krotinger, Edwin C. Shiver
Hearing Site: San Francisco, CA
Checkmark IconExpungement
12-0050701/14/2013Claimant(s): Joanne Johannsen, The Johannsen Family Survivors Trust dtd, The Johannsen Family Trust dtd 10/18/88
Claimant Lawyers(s): David L. Price
Respondent(s): Morgan Stanley, Morgan Stanley DW Inc., Morgan Stanley Credit Corporation, Morgan Stanley Home Loans, Morgan Stanley Smith Barney Global Impac
Respondent Lawyers(s): August "Jamie" H. Schupp
Arbitrator(s): Paul D. Gutierrez, Roslyn Terri Mandel, Martin Joel Fassler
Hearing Site: San Francisco, CA
Checkmark Icon$299,200
11-0428201/04/2013Claimant(s): Herman Fitzgerald
Claimant Lawyers(s): Nicholas A. Rogers
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Frank R Weaver, Edwin C. Shiver, Ralph L. Jacobson
Hearing Site: San Francisco, CA
Checkmark IconExpungement
12-0275001/03/2013Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Anthony L. Valenzuela
Respondent(s): Thomas Libby
Respondent Lawyers(s): Thomas L. Libby
Arbitrator(s): Frank R Weaver
Hearing Site: San Francisco, CA
Checkmark Icon$0
10-0572612/31/2012Claimant(s): Clara Hickle
Claimant Lawyers(s): Tanya S. Sacks
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin Fitzgerald
Arbitrator(s): Herb Schwartz, Terry M Lloyd, Joseph Berzok
Hearing Site: San Francisco, CA
Checkmark Icon$0
11-0407112/31/2012Claimant(s): Donald J. Kinosian DDS Inc. PS Plan
Claimant Lawyers(s): Richard Sacks
Respondent(s): Anthony Vlahiotis, Ameritas Investment Corp.
Respondent Lawyers(s): Amanpreet Kaur, Anthony Tom Vlahiotis
Arbitrator(s): Lester Friedman, Paul D. Gutierrez, John B. Weingart
Hearing Site: San Francisco, CA
Checkmark Icon$0

487 Results

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