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FINRA Awards for Stephen Howard Marcus

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Displaying 10 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0166911/19/2024Claimant(s): The MW Trust
Claimant Lawyers(s): Andrew M Greenidge
Respondent(s): Saturna Brokerage Services
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Brent J. Rosenbaum, Jack R. Goetz, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
22-0257203/25/2024Claimant(s): Emma Ward
Claimant Lawyers(s): Scott L. Silver
Respondent(s): PHX Financial.
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Jeffrey L. Malek, Mark T Risner, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
23-0204002/28/2024Claimant(s): Mary Moser
Claimant Lawyers(s): Mary E. Suzy Moser
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Stephen Howard Marcus
Hearing Site: Los Angeles, CA
Checkmark Icon$0
23-0108501/02/2024Claimant(s): Luis Espinoza
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Ameriprise Financial Services., FFEC Wealth Partners LLC
Respondent Lawyers(s): Howard Klausmeier, Patrick W. Kelly
Arbitrator(s): Michael W. Burnett, Andrew M. Mintzer, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
22-0136010/30/2023Claimant(s): Ronald Inlow
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Eric Ludovico, Mark Stewart, Michael Barrows
Respondent Lawyers(s): Justin Chretien, Nicholas J. Yocca
Arbitrator(s): Stephen Howard Marcus, Jason Moriarty, Lawrence Wayne Sarokin
Hearing Site: Los Angeles, CA
Checkmark Icon$1,046,420
22-0296807/24/2023Claimant(s): Jefferey B. Lurner, IRA
Claimant Lawyers(s): Jefferey B. Lurner
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Stephen Howard Marcus
Hearing Site: Los Angeles, CA
Checkmark Icon$0
21-0127503/02/2022Claimant(s): Theodore Fischer
Claimant Lawyers(s): Brian Luther
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Stephen Howard Marcus, Tim James O'Keefe, Michael Shimokaji
Hearing Site: Los Angeles, CA
20-0113508/04/2021Claimant(s): Daniel Sebastian, Robin Sebastian
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Adam Michael Porter, Pamela Jane Koslow, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
Checkmark Icon$0
20-0363805/19/2021Claimant(s): Kristopher Scher, Renee Scher, Kristopher Scher Trust, Renee Scher 2003 Irrevocable Trust, Stanley M. Scher Liv Trst dtd 8/10/82
Claimant Lawyers(s): Rod Bidgoli, Steve Buchwalter
Respondent(s): Eplanning Securities.
Respondent Lawyers(s): Timothy A. Menezes
Arbitrator(s): Stephen Howard Marcus
Hearing Site: Los Angeles, CA
Checkmark Icon$362,395
18-0182605/08/2019Claimant(s): Pablo Vaquera
Claimant Lawyers(s): Pablo Raul Vaquera
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Daniel A. Seiver, Jack R. Goetz, Stephen Howard Marcus
Hearing Site: Los Angeles, CA

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