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FINRA Awards for Andrew R. Epstein

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0275402/23/2015Claimant(s): Rodolfo C. and Maria O. Del Real Family
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Andrew R. Epstein, Sterling N. Frost, Gary H. Kahn
Hearing Site: San Francisco, CA
Checkmark IconExpungement
09-0299403/09/2010Claimant(s): Mahin Vadi & Cyrus Bahram Soltani
Claimant Lawyers(s): Reza Soltani
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John J. Vihstad
Arbitrator(s): Kathryn J. Toronto, Andrew R. Epstein, Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
Checkmark Icon$0
09-0147002/18/2010Claimant(s): Naresh K. Jain and Santosh K. Jain
Claimant Lawyers(s): Naresh K. Jain
Respondent(s): Scottrade.
Respondent Lawyers(s): Thomas J. Azar
Arbitrator(s): Helen Marinak Blohm, Andrew R. Epstein, Edwin C. Shiver
Hearing Site: San Francisco, CA
Checkmark Icon$0

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