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FINRA Awards for Albuquerque, NM

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Displaying 21-30 out of 38 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0408707/30/2014Claimant(s): Willie Benning
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Arnold Montano, Cambridge Investment Research Advisors, Cambridge Investment Research., Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Jonathan M. Sterling, Sam Y. Edgerton
Arbitrator(s): Patrick J. Halter, Harvey W Gordon, Richard Djokic
Hearing Site: Albuquerque, NM
Checkmark Icon$243,510
11-0386310/10/2013Claimant(s): Frances Salazar
Claimant Lawyers(s): Eric D. Norvell
Respondent(s): John Strange, Metlife Securities Inc.
Respondent Lawyers(s): Jamie B. Palfai
Arbitrator(s): Barry H. Barnett, Mary C. Davis, Hazel E. Hanley
Hearing Site: Albuquerque, NM
Checkmark Icon$0
11-0353205/29/2013Claimant(s): Leroy Martinez
Claimant Lawyers(s): Leroy Martinez
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Thaddeus J. Tecza
Hearing Site: Albuquerque, NM
Checkmark Icon$0
12-0179305/02/2013Claimant(s): Donald Soards
Claimant Lawyers(s): Donald E. Soards
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): James B. Eichberg, Ronald G. Guida, David L. Erickson
Hearing Site: Albuquerque, NM
Checkmark Icon$0
11-0125102/28/2012Claimant(s): Gilbert H. Quintana, IRA, Roth IRA, Jerry H. Quintana IRA, Jose Biterbo & Zulema Quintana Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Steven Meyrich
Hearing Site: Albuquerque, NM
Checkmark IconExpungement
10-0382411/16/2011Claimant(s): Mary Daige
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Susan M. Thevenet
Hearing Site: Albuquerque, NM
Checkmark IconExpungement
09-0644607/15/2011Claimant(s): Deborah Vollstedt, Steve Vollstedt, Steve or Deborah Vollstedt Trust
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Katherine M. Harmeyer, James J. Ashe, James W. Warren
Hearing Site: Albuquerque, NM
Checkmark Icon$323,420
10-0324906/27/2011Claimant(s): Raymond F. and Margaret A. Mendez Revoca
Claimant Lawyers(s): Raymond F. Mendez
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Matthew P. Fischer
Arbitrator(s): Patrick J. Halter
Hearing Site: Albuquerque, NM
Checkmark Icon$225
09-0667704/12/2011Claimant(s): Lisa Cordaro, Robert Cordaro
Claimant Lawyers(s): Irwin Stein
Respondent(s): Forrest Templeton, United Securities Alliance.
Respondent Lawyers(s): Forrest D. Templeton, Michael Washington Jones
Arbitrator(s): George W. Harding, Donald N. Tolin, William J. Kenna
Hearing Site: Albuquerque, NM
Checkmark Icon$500,000
10-0381502/17/2011Claimant(s): Kimberly McCloud
Claimant Lawyers(s): Kimberly S. McCloud
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Patrick J. Halter
Hearing Site: Albuquerque, NM
Checkmark Icon$425

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