FINRA Awards for Frank F. Sommers

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
14-03557	03/30/2017	Claimant(s): Alice Caputo, Antonio Gonzalez, Belia Gonzalez, Grace Magdaluyo, Gwen Shelton, Ken Mainville, Maria Lew, Marta Eckert, Marty Grogan, Robin Logan, Terry Rhoades Claimant Lawyers(s): Frank F. Sommers Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard Mccollam Respondent Lawyers(s): Paul W. Thomas, Theodore J. Sawicki, William P. Keith Arbitrator(s): Carl B. Noelke, Ronald Chun, Arocles Aguilar Hearing Site: San Francisco, CA		Expungement
14-01816	10/04/2016	Claimant(s): Barbara Padillia, Douglas Beal, Joseph Lujan, Linda Rapella, Lori Palmquist, Mae Holloway, Marjorie Gillman, Marylou Oliver Claimant Lawyers(s): Andrew H. Schwartz, Frank F. Sommers Respondent(s): Royal Alliance Associates., Kathleen Tarr, Richard McCollam Respondent Lawyers(s): Paul W. Thomas, Theodore J. Sawicki Arbitrator(s): Isidoro Berkman, Peter H. Daly, Mario Singleton Hearing Site: San Francisco, CA		$1,933,000
14-01724	04/26/2016	Claimant(s): Evelyn Johnson, Feliciano Dizon, Frank DiGrande, Harriett Eubanks, Marina Bautista, Trilby DiGrande Claimant Lawyers(s): Andrew H. Schwartz, Frank F. Sommers Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard McCollam Respondent Lawyers(s): Paul W. Thomas, Scott L. Metzger, Theodore J. Sawicki Arbitrator(s): Joseph H. Sturdivant, Amy Seltzer, Jeffrey M. Allen Hearing Site: San Francisco, CA		$91,908
16-00121	01/27/2016	Claimant(s): Barbara Padilla, Douglas Beal, Joseph Lujan, Linda Rapella, Lori Palmquist, Mae Holloway, Marjorie Gillman, Marylou Oliver Claimant Lawyers(s): Frank F. Sommers Respondent(s): Brent Wolf Respondent Lawyers(s): Scott L. Metzger Arbitrator(s): Alexandra M. Linden, Thomas D. Reese, Peter H. Daly Hearing Site: San Francisco, CA		Expungement