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FINRA Awards for William Ziering

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Displaying 11-18 out of 18 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0220712/23/2013Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Chris McCrary
Respondent Lawyers(s): Chris Patrick McCrary
Arbitrator(s): William Ziering
Hearing Site: San Francisco, CA
10-0150101/31/2013Claimant(s): Adela Pena, Connie Johnson, Karrell Wood, Lauro Pena, Philip Ashburn, William Percy
Claimant Lawyers(s): Melinda Jane Steuer, Scott R. Shewan
Respondent(s): Sagepoint Financial., Sharon Kearney
Respondent Lawyers(s): Dennis J. Kelly, Mark J. Hancock
Arbitrator(s): William Ziering, Carl B. Noelke, Mario Singleton
Hearing Site: San Francisco, CA
Checkmark Icon$0
11-0063306/25/2012Claimant(s): Ryan Romines
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Joseph Gavigan
Respondent Lawyers(s): Joseph T. Gavigan
Arbitrator(s): Reed H. Bement, William Ziering, Douglas J. Pavese
Hearing Site: San Francisco, CA
11-0124905/01/2012Claimant(s): William Garvey
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Mark Powell, Lighthouse Capital Corporation
Respondent Lawyers(s): Jonathan Schwartz, Robert John Zamecki
Arbitrator(s): William Ziering, Mary Margaret Bush, Stewart H. Foreman
Hearing Site: San Francisco, CA
Checkmark Icon$100,000
10-0259209/27/2011Claimant(s): June Shore, June F. Shore IRA FBO June F. Shore, The June F. Shore Living Trust
Claimant Lawyers(s): Thomas M. Campbell
Respondent(s): Gary Gardner, Life Wealth Advisors.
Respondent Lawyers(s): Alan W. Sparer, Kevin H. Lewis
Arbitrator(s): William Ziering, Thomas C. McNally, John B. Weingart
Hearing Site: San Francisco, CA
Checkmark IconStipulated Award
09-0509208/11/2010Claimant(s): Vishal Thacker
Claimant Lawyers(s): Vishal Thacker
Respondent(s): George Ramirez, MFR Securities.
Respondent Lawyers(s): George M. Ramirez
Arbitrator(s): William Ziering
Hearing Site: San Francisco, CA
08-0316911/04/2009Claimant(s): Larry Martinez
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Arthur Aldatz, James Gallo, Jeffrey Greeney, Sean Harrison, Thomas Rubin, Troy Rasmusen, Westcap Securities.
Respondent Lawyers(s): Arthur Jess Aldatz, James Eugene Gallo, Thomas Seth Rubin
Arbitrator(s): William Ziering, Charles E. Farnsworth, Homer L. Davis
Hearing Site: San Francisco, CA
Checkmark Icon$87,760
08-0390008/11/2009Claimant(s): Gina D'Alessandro
Claimant Lawyers(s): Gina T. D'Alessandro
Respondent(s): Atel Securities Corporation
Respondent Lawyers(s): Stewart H. Foreman
Arbitrator(s): William Ziering, Marvin G. Breen, George King
Hearing Site: San Francisco, CA

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