Potomac Analytics' Logo

FINRA Awards for Lawrence R. Cock

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

Filter by:

Sort by:

Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0105907/17/2015Claimant(s): Sharon Graham Bingham 2007 Trust
Claimant Lawyers(s): Rick J Wathen
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Lawrence R. Cock
Arbitrator(s): James A. Bishop, Linda I. Thomas, Kenneth James Pedersen
Hearing Site: Seattle, WA
Checkmark Icon$0
10-0353407/29/2013Claimant(s): Ashley Marie Hern Gift Trust, Shaun M. Donnelly Gift Trust
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): Brad Weiner, UBS Financial Services Inc.
Respondent Lawyers(s): Molly J. Henry
Arbitrator(s): William J. Bender
Hearing Site: Seattle, WA
Checkmark IconExpungement
12-0035104/23/2013Claimant(s): David Sandwith, Susan Crader, Perpetual Asset Shield Trust FBO Crader, Perpetual Asset ShieldTrust FBO Sandwith, US Life Fund FBO David A. Sandwith, US Life Fund FBO Susan Sandwith Crader
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): Brian Decker, James Black, Teri Weigel, Absolute Return Solutions., Pacific West Financial Consultants., Pacific West Securities., USA Financial Securities Corporation
Respondent Lawyers(s): Brian James Decker, Chance Hodges, Chris R. Youtzorate Officer, Gregory M. Kilby, James Leroy Black
Arbitrator(s): William W. Anderson, Laurie E. Law, Stephen E. DeForest
Hearing Site: Seattle, WA
Checkmark IconExpungement
11-0067908/20/2012Claimant(s): S.R. Takayama
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): Claude Ohanesian, Citigroup Global Markets., Morgan Stanley, Michael Coleman
Respondent Lawyers(s): Nicholas P. Iavarone, Patrick G. King
Arbitrator(s): Kathryn J. Toronto, Peter H. Daly, Anthony G. Sousa
Hearing Site: San Francisco, CA
Checkmark IconExpungement
09-0428404/07/2011Claimant(s): John Mills, Judith Mills
Claimant Lawyers(s): Dennis H. Walters
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Lawrence R. Cock
Arbitrator(s): Paul R. Meyer, Lawrence R. Mills, Parker Arthur Montgomery
Hearing Site: Seattle, WA
Checkmark Icon$0
09-0680603/25/2011Claimant(s): John P. Cogan & Jemma J. Cogan JTWROS
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Shawn Larsen-Bright
Arbitrator(s): Robert M. Stein, William J. Bender, Paul Michael Webber
Hearing Site: Seattle, WA
Checkmark Icon$48,514

6 Results

Display: