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FINRA Awards for Arocles Aguilar

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Displaying 21-30 out of 51 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0042108/19/2020Claimant(s): Katie Buck
Claimant Lawyers(s): Harris Freedman
Respondent(s): H. Beck.
Respondent Lawyers(s): Matt Winterhalter
Arbitrator(s): Arocles Aguilar
Hearing Site: Honolulu, HI
19-0091502/04/2020Claimant(s): Patrick Gainer
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
17-0246103/08/2019Claimant(s): Bradley Glasman
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Geoffrey S. Beckham
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
18-0076802/20/2019Claimant(s): Joseph Caselle
Claimant Lawyers(s): Harris Freedman
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Randi Spallina
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
18-0242802/20/2019Claimant(s): Michael Somerby
Claimant Lawyers(s): Michael R Somerby
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
Checkmark Icon$0
18-0287512/24/2018Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Roy Manriquez
Respondent Lawyers(s): Roy Arcadio Manriquez
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
17-0127103/30/2018Claimant(s): Michael Helm
Claimant Lawyers(s): Michael S Helm
Respondent(s): Elizabeth Thomas, SunTrust Investment Services.
Respondent Lawyers(s): Josef Y. Rosen
Arbitrator(s): Arocles Aguilar
Hearing Site: Reno, NV
Checkmark Icon$0
17-0188802/26/2018Claimant(s): Susanna Bracke
Claimant Lawyers(s): Adam M. Kauff
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Denver G. Edwards
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
16-0072001/31/2018Claimant(s): Jerry McMillon, Jerry A. McMillon Living Trust Under Agr
Claimant Lawyers(s): Mark A. Pruner
Respondent(s): Jason Jaffee, Wells Fargo Advisors, Wells Fargo Securities, John Lee, Wells Fargo Company
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Carlos Richard Mangum, Dean J. Dietrich, Arocles Aguilar
Hearing Site: San Francisco, CA
Checkmark IconExpungement
17-0094111/14/2017Claimant(s): Joseph Seidler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA

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