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FINRA Awards for Registered Agent

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0143105/07/2024Claimant(s): John Bostaph
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): WAMU Investments., Wells Fargo Investments
Respondent Lawyers(s): Geoff Beckham, Registered Agent
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
20-0082011/06/2020Claimant(s): Edward Fernandez
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Pacific Cornerstone Capital Incorporated
Respondent Lawyers(s): Registered Agent
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA

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