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FINRA Awards for Michael Lancaster Garcia

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Displaying 10 out of 14 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0409801/13/2022Claimant(s): William Struwe
Claimant Lawyers(s): Scott I. Batterman
Respondent(s): Carmine Berardi
Respondent Lawyers(s): Carmine Anthony Berardi
Arbitrator(s): John J. Fitzpatrick, Michael Lancaster Garcia, Reed Way Dasenbrock
Hearing Site: Honolulu, HI
Checkmark Icon$281,500
17-0116812/29/2020Claimant(s): Michael Bowe
Claimant Lawyers(s): Michael E. Bowe
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Barbara M. Anscher, Michael Lancaster Garcia, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
Checkmark Icon$16,000
18-0025308/29/2019Claimant(s): Sandra Althaus, Sandra Althaus IRA, Sandra Althaus Roth IRA, Sandra Althaus SEP IRA
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Daniel M. Yamshon, David I. Levine, Michael Lancaster Garcia
Hearing Site: Reno, NV
Checkmark Icon$721,117
13-0150511/21/2016Claimant(s): Joan Wager, Joyce Haber, Lucinda Page, Martha Fakhoury, Maurice Fakhoury, Peter Neuwirth, Sam Regen, Steven Terusaki
Claimant Lawyers(s): Steven J. Rotunno
Respondent(s): Krittibas Ray
Respondent Lawyers(s): Krittibas Ray
Arbitrator(s): Isidoro Berkman, Wendi Lee Eckardt, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
Checkmark Icon$100,000
15-0040707/27/2016Claimant(s): David Cross, Roberta Cross
Claimant Lawyers(s): Jeffrey L. Gaffney, Sheila Hollander
Respondent(s): Ameriprise Financial Services., Randall Samson, Scott Esco
Respondent Lawyers(s): Chad Weaver, Timothy N. Will
Arbitrator(s): William W. Haskell, Michael Lancaster Garcia, Norman S. Nayfach
Hearing Site: San Francisco, CA
Checkmark IconExpungement
12-0288508/22/2014Claimant(s): Richard Hingley, Richard A. Hingley IRA, Richard A. Hingley 1989 Trust
Claimant Lawyers(s): Ronald E. Miller
Respondent(s): Eric Kuchel, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman, Shanna Javaheri
Arbitrator(s): Michelle Judy Brant, Peter H. Daly, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
Checkmark Icon$277,468
12-0422405/07/2014Claimant(s): Richard Remington
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Omar Hassan, John Thomas Financial
Respondent Lawyers(s): David Hirschberg, Maria Cummings
Arbitrator(s): Michael Lancaster Garcia, Kenneth W. Gosliner, Norman S. Nayfach
Hearing Site: San Francisco, CA
Checkmark Icon$163,050
11-0065608/26/2013Claimant(s): Joanna George, Randy George
Claimant Lawyers(s): Randy George
Respondent(s): Erinn Ford, Joshua Swayne, Mark McCloskey, Philip Pizelo, Shanon Ford, William Swayne, Pacific West Financial Group Co., Pacific West Securities., WMS Financial Planners Inc.
Respondent Lawyers(s): Dennis J. Kelly
Arbitrator(s): Philip Aaron Tymon, Michael Lancaster Garcia, Robert Hilton Keller
Hearing Site: San Francisco, CA
Checkmark Icon$0
12-0002608/16/2013Claimant(s): Om Kalra
Claimant Lawyers(s): Om Parkash Kalra
Respondent(s): Hemant Kathuria, Euro Pacific Capital.
Respondent Lawyers(s): Robert Decker
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
Checkmark Icon$0
10-0233911/15/2011Claimant(s): Madhok Family Trust
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): James D. Murray, Michael Lancaster Garcia, Ronald J. Vernali
Hearing Site: San Francisco, CA
Checkmark Icon$0

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