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FINRA Awards for Lawrence R. Mills

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Displaying 10 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0240503/20/2024Claimant(s): Kwesi Buabeng
Claimant Lawyers(s): Robert Savage
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Lawrence R. Mills, Mary Mackey, Anna Arcellana Matheson
Hearing Site: San Francisco, CA
Checkmark Icon$0
21-0009006/29/2023Claimant(s): Ralph Gatto Roth IRA, Ralph and Vicki Gatto Living Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kristine R. Thomson
Arbitrator(s): Minnie Loo, Daniel M. Yamshon, Lawrence R. Mills
Hearing Site: San Francisco, CA
Checkmark IconExpungement
22-0118603/23/2023Claimant(s): Anthony Karazeris
Claimant Lawyers(s): Anthony Karazeris
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Mark G. Materna
Arbitrator(s): Lawrence R. Mills
Hearing Site: San Francisco, CA
Checkmark Icon$0
22-0012203/09/2023Claimant(s): Paul E. Vaz Trucking.
Claimant Lawyers(s): John D. Pernick
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Lawrence R. Mills, Sarah Jane Militello, Bruce J Highman
Hearing Site: San Francisco, CA
Checkmark IconExpungement
21-0176312/22/2021Claimant(s): Qingning Li
Claimant Lawyers(s): Qingning Li
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Lawrence R. Mills
Hearing Site: San Francisco, CA
Checkmark Icon$0
18-0282906/24/2020Claimant(s): Amber Auto, Ltd., Standard Group Resources, Ltd
Claimant Lawyers(s): Brian J. McSweeney
Respondent(s): Daniel Speirs, Wells Fargo Clearing Services
Respondent Lawyers(s): Geoffrey Beckham
Arbitrator(s): Lawrence R. Mills
Hearing Site: San Francisco, CA
Checkmark Icon$0
18-0213602/24/2020Claimant(s): David Valponi, Elizabeth Valponi, The Valponi Revocable Trust dtd 2/24/98, Valponi Family Irrevocable Trust FBO Ali, Valponi Family Irrevocable Trust FBO Eri
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): David Markun
Arbitrator(s): Lawrence R. Mills, Alden Sharp Adkins
Hearing Site: San Francisco, CA
Checkmark Icon$699,664
18-0119806/04/2019Claimant(s): John Turman, Dana Turman TTE of Turman Family Trust B, John Turman TTE of Turman Family Trust A
Claimant Lawyers(s): Michael G. Bolgatz
Respondent(s): Morgan Stanley, Kevin Wolfe, Robert Rius
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Lawrence R. Mills, Clifford A. Threlkeld, Michael Craig Butterworth
Hearing Site: San Francisco, CA
Checkmark IconExpungement
16-0246104/08/2019Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Jon Gegenheimer
Respondent Lawyers(s): Daniel Green
Arbitrator(s): Minnie Loo, Lawrence R. Mills, A. James Oakes
Hearing Site: San Francisco, CA
15-0238712/14/2018Claimant(s): El Capitan Limited Corporation
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil Baritz
Arbitrator(s): Jeffrey M. Allen, Lawrence R. Mills, Anne M. Lawlor Goyette
Hearing Site: San Francisco, CA
Checkmark Icon$0

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