FINRA Awards for Daren A. Luma

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
13-02975	04/24/2015	Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Daren A. Luma Respondent(s): George Lin Respondent Lawyers(s): George Sein Lin Arbitrator(s): Dora M. Lassinger, Shelley Teitelbaum, Martin Hunger Hearing Site: New York, NY		$0
11-00733	05/17/2013	Claimant(s): Kendis Family Trust (A & B Trusts) Claimant Lawyers(s): Mark D. Lammers Respondent(s): Citigroup Global Markets., Morgan Stanley Respondent Lawyers(s): Daren A. Luma Arbitrator(s): Donald Dreyfus, Kenneth L. Mann, Walter Steven Schwartz Hearing Site: Phoenix, AZ		Expungement
11-02832	04/25/2013	Claimant(s): James Metzger Claimant Lawyers(s): Steven B. Caruso Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Daren A. Luma Arbitrator(s): Susan C. Lushing, Evonne W.J. Tolbert, Andrew M. Schmertz Hearing Site: New York, NY		$0
09-02491	09/23/2010	Claimant(s): Vikki Okasaki Claimant Lawyers(s): Vikki Okasaki Respondent(s): Citigroup Global Markets., Paul Couch Respondent Lawyers(s): Daren A. Luma Arbitrator(s): Philip H. Marmurowski, Stephen F. Kempa, Dee Newell Hearing Site: Las Vegas, NV		$15,500