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FINRA Awards for Arocles Aguilar

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Displaying 31-40 out of 51 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0008509/18/2017Claimant(s): Xi Chen
Claimant Lawyers(s): Xi Chen
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Ian Ross
Arbitrator(s): William C. Pack, Jeffrey M. Allen, Arocles Aguilar
Hearing Site: San Francisco, CA
15-0231407/28/2017Claimant(s): Taylor Reed
Claimant Lawyers(s): Donald C. Potter
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Matthew Klafter
Arbitrator(s): Herb Schwartz, Ralph A. Cotton, Arocles Aguilar
Hearing Site: San Francisco, CA
14-0355703/30/2017Claimant(s): Alice Caputo, Antonio Gonzalez, Belia Gonzalez, Grace Magdaluyo, Gwen Shelton, Ken Mainville, Maria Lew, Marta Eckert, Marty Grogan, Robin Logan, Terry Rhoades
Claimant Lawyers(s): Frank F. Sommers
Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard Mccollam
Respondent Lawyers(s): Paul W. Thomas, Theodore J. Sawicki, William P. Keith
Arbitrator(s): Carl B. Noelke, Ronald Chun, Arocles Aguilar
Hearing Site: San Francisco, CA
Checkmark IconExpungement
16-0094203/16/2017Claimant(s): Richard Koerner
Claimant Lawyers(s): Raymond D. Barber
Respondent(s): Daniel Gieseke, Douglas Ingham, Morgan Stanley
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Arocles Aguilar
Hearing Site: Honolulu, HI
Checkmark Icon$0
16-0029407/11/2016Claimant(s): Pearl Oliver-Perkins
Claimant Lawyers(s): Pearl Oliver-Perkins
Respondent(s): Terry Bailey
Respondent Lawyers(s): Terry Lee Bailey
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
Checkmark Icon$2,925
14-0267306/29/2016Claimant(s): Terry D. Johnstone, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Norman S. Nayfach, Nancy A. Yonge, Arocles Aguilar
Hearing Site: Reno, NV
Checkmark IconExpungement
15-0153912/21/2015Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Kristin Tuchman
Respondent Lawyers(s): Kristin A. Tuchman
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
14-0207507/17/2015Claimant(s): Carole Smith, Michael Smith, NNN Parkway Corporate Plaza 10
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): John Notman, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): John Shaw Notman, Nicole Lomibao
Arbitrator(s): William Ziering, Carol Ann Jensen, Arocles Aguilar
Hearing Site: San Francisco, CA
Checkmark IconDismissed by Rule 12206
14-0366906/24/2015Claimant(s): Richard Koerner
Claimant Lawyers(s): Richard J. Koerner
Respondent(s): Douglas Ingham, Morgan Stanley
Respondent Lawyers(s): Christine A. Kendrick, Lesley V. Tepper
Arbitrator(s): Arocles Aguilar
Hearing Site: Honolulu, HI
Checkmark Icon$300
13-0086506/23/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Benjamin W. White
Respondent(s): Daniel Cairns
Respondent Lawyers(s): Montgomery G. Griffin
Arbitrator(s): Homer L. Davis, Val D. Hornstein, Arocles Aguilar
Hearing Site: San Francisco, CA

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