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FINRA Awards for Los Angeles, CA

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Displaying 371-380 out of 870 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0212602/24/2015Claimant(s): John Daciuk
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
Checkmark Icon$300
13-0238102/20/2015Claimant(s): David Rose, Joanna Speed, Lawrence Rose, Clare Rose Trust, Zaillian Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): John E. Ohashi, June McLaughlin, Janice A. Salter
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
13-0126302/04/2015Claimant(s): Willie Flores
Claimant Lawyers(s): Eric A. Woosley
Respondent(s): Christopher Ariola
Respondent Lawyers(s): Christopher B. Ariola
Arbitrator(s): Mary M. O'Neil, Robert Dean McKinley, David K. Slay
Hearing Site: Los Angeles, CA
Checkmark Icon$0
13-0323102/04/2015Claimant(s): Lila Luttrell
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): George Bokios, Regal Securities.
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Blaine Smith, Richard J. Stall, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
14-0183302/02/2015Claimant(s): Martha Peters, Martha Jo Peters, IRA
Claimant Lawyers(s): Martha Jo Peters
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Mack E. McCain
Arbitrator(s): Sandra L. Malek, Alan Stamm, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
Checkmark Icon$0
13-0331301/23/2015Claimant(s): Karen Bonnheim
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Arthur F. Brueggeman, Constance Ellen Boukidis, Milton N. Gross
Hearing Site: Los Angeles, CA
Checkmark Icon$351,400
14-0098201/09/2015Claimant(s): Amanda Lenvin, Co-Executor of the Estate, David Lenvin, Estate of Michael William Lenvin
Claimant Lawyers(s): Jon C. Furgison
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Gail E. Cohen
Arbitrator(s): Edward J. Costello, Steven A. Wawra, Daniel Su
Hearing Site: Los Angeles, CA
Checkmark Icon$884,220
13-0183701/02/2015Claimant(s): Belva Jeanne Shultz Revocable Trust, Karen K. Fry, Atty in Fact
Claimant Lawyers(s): Richard A. Nervig
Respondent(s): John Thornes, Thornes & Associates. Invest Sec
Respondent Lawyers(s): John Thomas Thornes, Stephen M. Oliveira
Arbitrator(s): Michael G. Clark, Benjamin F. Breslauer, Michael John Florio
Hearing Site: Los Angeles, CA
Checkmark Icon$4,525,120
14-0354612/26/2014Claimant(s): Joe Solarsa
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Vincent J. Natoli, Salvatore A. Sciortino, Eric Gad Forster
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
14-0218412/22/2014Claimant(s): Paul Inneo
Claimant Lawyers(s): Paul Inneo
Respondent(s): Michael Goodrich
Respondent Lawyers(s): Ian J. Frimet
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
Checkmark Icon$163

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