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FINRA Awards for Richard E. Anderson

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0209711/06/2020Claimant(s): Jane Zhao, Richard Anderson
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Herbert J. Sims & Co. Inc.
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Edward R. Niederriter, Will Murphy, Paul J. Burkhart
Hearing Site: Boca Raton, FL
Checkmark IconSettlement
08-0126910/28/2010Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Eric Lansverk
Respondent(s): John Simonson, Kirk Gill
Respondent Lawyers(s): Armand Salese
Arbitrator(s): Richard E. Anderson, Henry L. Dahl, Richard Marc Weinroth
Hearing Site: Phoenix, AZ
08-0065906/08/2009Claimant(s): Joan Francis
Claimant Lawyers(s): Michael W. Sillyman
Respondent(s): Lisa Reed, Neuberger Berm
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Jerry H. Friedland, Richard E. Anderson, Merton E. Marks
Hearing Site: Phoenix, AZ
Checkmark Icon$0

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