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FINRA Awards for Mario Alberto Arteaga

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0232911/21/2014Claimant(s): Byrde Haspel, Byrde Berenson Haspel Life Ins. TR # 1
Claimant Lawyers(s): Peter B. Sloss
Respondent(s): Morgan Stanley, Stephen Loeb
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Arthur W. Pigott, Donald K. Eckhardt, Mario Alberto Arteaga
Hearing Site: New Orleans, LA
Checkmark IconExpungement
13-0169211/03/2014Claimant(s): Anita Carter, Bruce Smith, Charles Gruenwald Jr., Clyde Chisholm, Cynthia Dore, Don Landers, Fred Demarest, Gail Unglesby, George Forbes, Jason Graham, Jean Mayhall, Jerry Burris, Jessie Romig, John Wade, Jon Goeckel, Joseph Becker, Lynn Philippe, Mallory D'Amore, Mamie Baumann, Martha Witmer, et al
Claimant Lawyers(s): Chuck Gordon, Crystal Burkhalter, John Grinton, Phillip Preis
Respondent(s): Pershing LLC
Respondent Lawyers(s): Elizabeth F. Edwards
Arbitrator(s): Michele N. O'Brien, Brian P. Jakes, Mario Alberto Arteaga
Hearing Site: New Orleans, LA
Checkmark Icon$10,000
09-0524601/11/2011Claimant(s): FTB, GC&KB Investments.
Claimant Lawyers(s): Stephen D. Marx
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas A. Roberts
Arbitrator(s): Robert H. Putnam, Frederick S. Duncan, Mario Alberto Arteaga
Hearing Site: New Orleans, LA
Checkmark Icon$85,507

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