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FINRA Awards for Robert S. Mautner

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0305503/12/2013Claimant(s): Karen Warstler
Claimant Lawyers(s): Karen Warstler
Respondent(s): Chase Investment Services Corp., Loretta Barmes
Respondent Lawyers(s): Erika Imre Schindler
Arbitrator(s): Robert S. Mautner
Hearing Site: Phoenix, AZ
Checkmark Icon$1,713
11-0190808/02/2012Claimant(s): Guadalupe Bernal
Claimant Lawyers(s): William J. Risner
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Casey L. Moore
Arbitrator(s): Robert S. Mautner
Hearing Site: Phoenix, AZ
Checkmark Icon$0
11-0116212/05/2011Claimant(s): Ethelene C. Hayes and Earl E. Hayes, JTW
Claimant Lawyers(s): Ethelene C. Hayes
Respondent(s): Ing Financial Partners.
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Robert S. Mautner
Hearing Site: Las Vegas, NV
Checkmark Icon$213

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