FINRA Awards for Lawrence E. Little

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
10-02830	03/15/2012	Claimant(s): Lloyd Geldreich, Lloyd E. Geldreich Trust Claimant Lawyers(s): Jacob H. Zamansky Respondent(s): Chase Investment Services Corp., Michael Craggett Respondent Lawyers(s): Elizabeth M. Hill Arbitrator(s): Judith A. Cochrane, Roy J. Moceri, Lawrence E. Little Hearing Site: Seattle, WA		Expungement
11-01811	11/01/2011	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Jessica G. Klein Respondent(s): John Monaghan Respondent Lawyers(s): Al Van Kampen Arbitrator(s): Lawrence E. Little Hearing Site: Seattle, WA
10-00750	08/19/2010	Claimant(s): Fortune and Robin Pestarino Jt Tenants Claimant Lawyers(s): Jason T. Dennett Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Annie M. Moriarty Arbitrator(s): Lawrence E. Little Hearing Site: Seattle, WA		$4,481
08-03444	09/23/2009	Claimant(s): Edward Jones Claimant Lawyers(s): Christopher A. Pickett Respondent(s): Bruce Trang, Morgan Stanley & Co. Respondent Lawyers(s): Peter M. Vial, Thomas V. Dulcich Arbitrator(s): Thomas D. Loftus, Lawrence E. Little, Kay A. Johnson, CRCP Hearing Site: Seattle, WA
07-01395	12/19/2008	Claimant(s): Wachovia Securities Claimant Lawyers(s): Diane C. Fischer Respondent(s): David Thomas Respondent Lawyers(s): John A. Bender Arbitrator(s): Michael R. Scott, Lawrence E. Little, Kay A. Johnson, CRCP Hearing Site: Seattle, WA