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FINRA Awards for San Diego, CA

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Displaying 11-20 out of 178 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0208606/15/2022Claimant(s): Shawn Parr, TTEE of Parr Family Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Herbert Liberman, Randy R. Maher, William Richard Espino
Hearing Site: San Diego, CA
Checkmark IconExpungement
19-0352005/04/2022Claimant(s): Abbas Azimi
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Herbert Liberman, Kevin K. Forrester, Randall B Christison
Hearing Site: San Diego, CA
Checkmark IconExpungement
21-0030304/11/2022Claimant(s): Greg Zinser, on behalf of his IRA
Claimant Lawyers(s): Samuel Benton Edwards
Respondent(s): LPL Financial LLC, Rodd Miller
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
Checkmark IconExpungement
21-0245802/02/2022Claimant(s): Patricia Mary Taylor Trust
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): Christopher Taylor, Kestra Investment Services
Respondent Lawyers(s): Craig Zafis, Richard A. D'Amura
Arbitrator(s): Thomas E Shuck, Randy R. Maher, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
Checkmark IconDismissed by Rule 12206
19-0217601/28/2022Claimant(s): Theresa Irene Deukmedjian IRA, Deukmedjian Revocable Family Trust
Claimant Lawyers(s): Nicholas Berg
Respondent(s): David Pathe, in his capacity as Atty, Charles Schwab & Co.., David Pathe IRA Contributory, The David Pathe Trust dtd 7/17/2002
Respondent Lawyers(s): George C. Miller, Gilbert R. Serota
Arbitrator(s): Mark R. Lee, Robert B. Hansohn, Janice L. Sperow
Hearing Site: San Diego, CA
Checkmark Icon$0
21-0196012/20/2021Claimant(s): Nina Gould, Quinn Gold
Claimant Lawyers(s): Nina Gould
Respondent(s): Webull Financial LLC
Respondent Lawyers(s): Danielle R. Gill
Arbitrator(s): George Richard Najjar
Hearing Site: San Diego, CA
Checkmark Icon$0
21-0145609/27/2021Claimant(s): Jordan Ganzekaufer
Claimant Lawyers(s): Jordan Ganzekaufer
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
Checkmark Icon$3,213
19-0314509/10/2021Claimant(s): Wilgus Family Survivors Trust
Claimant Lawyers(s): Jeffrey K. Wilgus
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Herbert Liberman, Katherine Jane Morris, Helen W. Kinnaird
Hearing Site: San Diego, CA
Checkmark IconDismissed by Rule 12504(b)
19-0282208/06/2021Claimant(s): Constantine Cristo
Claimant Lawyers(s): Constantine Gus Cristo
Respondent(s): Charles Schwab & Co.., Charles Schwab Bank, Charles Schwab Corporation, Charles Schwab Investment Management Inc, Schwab Holdings.
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Robert Rosen, Sally G. Williams, Thomas L. Marshall
Hearing Site: San Diego, CA
Checkmark Icon$0
21-0037007/27/2021Claimant(s): Misbah Eldereiny
Claimant Lawyers(s): Tarek Saleh
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Kirtley M. Thiesmeyer, Shawn Michael Spaulding, William (Lee) Biddle
Hearing Site: San Diego, CA
Checkmark IconDismissed by Rule 12206

178 Results

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