FINRA Awards for Robert J. Bocko

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Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
12-01195	11/21/2014	Claimant(s): Kenneth Janoff Claimant Lawyers(s): John H. Chambers Respondent(s): UBS Financial Services Inc., Mark Loder Respondent Lawyers(s): Robert J. Bocko, Thomas T. Loder Arbitrator(s): Katherine Hendricks Hearing Site: Portland, OR		Expungement
13-01084	10/01/2013	Claimant(s): Chris W. Ditlefsen, Susan J. Ditlefsen Claimant Lawyers(s): Chris W. Ditlefsen Respondent(s): Paul Moore Respondent Lawyers(s): Robert J. Bocko Arbitrator(s): David W. Evans, Joan M. Schroeder, Jane Ann McKenzie Hearing Site: Seattle, WA		Dismissed by Rule 12206
09-00711	08/18/2010	Claimant(s): Northern Lights Fund Trust Claimant Lawyers(s): John Lekas Respondent(s): Albert Lowenthal, Angus Oughtred, Dennis Mcnamara, Elaine Roberts, Jeffrey Alfano, Oppenheimer & Co.., Lawrence Spaulding Respondent Lawyers(s): Robert J. Bocko Arbitrator(s): Joyce L. Tyler, Nancy E. Hochman, Harold J. Schleef Hearing Site: Portland, OR		Stipulated Award and Expungement