FINRA Awards for Joshua A. Waldman

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Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
15-03006	04/25/2017	Claimant(s): Baynes Family Trust, Jack A. and Sarah Cohen Family Trust Claimant Lawyers(s): Joshua A. Waldman Respondent(s): Daniel Levin, Oppenheimer & Co.. Respondent Lawyers(s): Ellen Sheridan-Cona Arbitrator(s): Neil S. Jasper, Michael Joseph Desmond, DeMarlo Matine Sims Hearing Site: Los Angeles, CA		Expungement
10-02766	05/24/2011	Claimant(s): Brent Richtsmeier Claimant Lawyers(s): Joshua A. Waldman Respondent(s): Jack Kalisz, National Securities Corporation, Joseph Stevens & Co.. Respondent Lawyers(s): Josepha Sorbara, Mark Roth Arbitrator(s): Annette Gres Shepherd, Robert E. Jenks, Karen J. Burneff Hearing Site: Los Angeles, CA		Expungement
10-00012	12/31/2010	Claimant(s): Josephine Wayman Claimant Lawyers(s): Joshua A. Waldman Respondent(s): Securities America., Randall Talbott Respondent Lawyers(s): Bruce M. Bettigole, Bryan M. Ward Arbitrator(s): Joseph C. Watson, Joel D. Davidman, W. Alex King Hearing Site: Los Angeles, CA		$1,155,470