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FINRA Awards for Upinder Kumar Sharma

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0009503/23/2017Claimant(s): Christopher Rice
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Andrew Lavenziano, Shane Melito, Upinder Sharma
Respondent Lawyers(s): Andrew C. Lavenziano, Matin P. Unger, Upinder Kumar Sharma
Arbitrator(s): Camille S. Cooper, David A. Schwarz, Robert Elliot Harrison
Hearing Site: New York, NY
Checkmark Icon$0
13-0036612/08/2014Claimant(s): Michael Hammel, Michael D. Hammel IRA
Claimant Lawyers(s): Ryan Cook, Samuel B. Edwards
Respondent(s): James Bernthal, Qi Huang, Stephen Grivas, Upinder Sharma, Obsidian Financial Group
Respondent Lawyers(s): James Rhys Bernthal, Kevin Sharma, Qi Huang, Stephen Grivas, Upinder Kumar Sharma
Arbitrator(s): Kathryn J. Toronto, Barbara M. Anscher, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
Checkmark Icon$182,932

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