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FINRA Awards for Carolyn V. Quadt

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0057810/09/2013Claimant(s): PHK Trust
Claimant Lawyers(s): Kamyar R. Shayan
Respondent(s): David Crist, First Allied Securities., Sii Investments.
Respondent Lawyers(s): Jacquelyn Mohr, Jeffrey K. Compton
Arbitrator(s): Carolyn V. Quadt, Christopher J. Rogers, Robert C. Albini
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
09-0160403/01/2010Claimant(s): Janice Duffek
Claimant Lawyers(s): Janice C Duffek
Respondent(s): Stephen Morton, Macarthur Strategies.
Respondent Lawyers(s): Edward Gartenburg, Stephen Francis Morton
Arbitrator(s): Carolyn V. Quadt, Kenneth E. Kreh, Steven J. Feldman
Hearing Site: Los Angeles, CA
Checkmark Icon$2,800
08-0373607/21/2009Claimant(s): Natasha Shliapnikoff, Rodion Nahapetov
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Carolyn V. Quadt
Hearing Site: Los Angeles, CA
Checkmark Icon$3,000
05-0200012/21/2007Claimant(s): Lewis Worms, Lewis E. and Corrine I. Worms Trust
Claimant Lawyers(s): Stephen H. Marcus
Respondent(s): J.P. Turner & Company
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Carolyn V. Quadt, Vincent J. Natoli, Karen J. Burneff
Hearing Site: Los Angeles, CA
Checkmark IconStipulated Award and Expungement

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