FINRA Awards for Ralph A. Cotton

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 11-14 out of 14 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-03828	03/25/2013	Claimant(s): K & M Dattani Irrevocable Trust Claimant Lawyers(s): Andrew H. Wilson Respondent(s): Wells Fargo Advisors, Wells Fargo Investments Respondent Lawyers(s): Thomas Kopshever Arbitrator(s): Herb Schwartz, Ralph A. Cotton, Jonathan Holman Hathaway Hearing Site: San Francisco, CA		Expungement
10-01700	08/04/2011	Claimant(s): R. Emigh, R. Kent Emigh Trust dd 1/31/1986 Claimant Lawyers(s): Andrew V. Tramont Respondent(s): Wedbush Securities Inc., Lisa Gallo Respondent Lawyers(s): Charles LaChaussee Arbitrator(s): Thomas C. McNally, Ralph A. Cotton, Louis Anthony Napoli Hearing Site: San Francisco, CA		$0
09-00203	09/14/2010	Claimant(s): Maureen Graf, Robert Bulchis Claimant Lawyers(s): Tanya Sacks Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Cara L. Finan Arbitrator(s): Ralph A. Cotton, James N. D'Orso, Mark Aaron Jones Hearing Site: San Francisco, CA		Stipulated Award and Expungement
08-04701	09/23/2009	Claimant(s): Paul Edwards Claimant Lawyers(s): Tanya Sacks Respondent(s): Charles Schwab & Co.., Randall Merk, Rupesh Shah Respondent Lawyers(s): Garrett R. Wynne Arbitrator(s): Ralph A. Cotton, Terry M Lloyd, Bradley C. Mitchell Hearing Site: San Francisco, CA		$25,000