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FINRA Awards for David Hartmann

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0138907/16/2024Claimant(s): David Hartmann
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): David Page, SW Financial
Respondent Lawyers(s): Axos Clearing LLC, David Hilton Page
Arbitrator(s): Lynne M. Reid-McQueen, James M. Rhodes, Jonathan Blank
Hearing Site: New York, NY
Checkmark Icon$135,000
17-0037910/04/2017Claimant(s): David Hartmann
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): James Schwartz, Steven Luftschein
Respondent Lawyers(s): Steven Robert Luftschein
Arbitrator(s): Kathleen Hoey Gorr
Hearing Site: Hartford, CT
Checkmark Icon$0

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