FINRA Awards for R. Rogge Dunn

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
10-02659	12/05/2014	Claimant(s): Christopher Barra, Luis Sampedro Claimant Lawyers(s): R. Rogge Dunn Respondent(s): Goldman, Sachs and Company Respondent Lawyers(s): Robin D. Fessel Arbitrator(s): Sandra L. Malek, James Stephan Mulholland, John B. La Rue Hearing Site: Los Angeles, CA
12-02576	12/02/2013	Claimant(s): RBC Capital Markets LLC Claimant Lawyers(s): Mark L. Johansen Respondent(s): Kelly Rigas Respondent Lawyers(s): R. Rogge Dunn Arbitrator(s): Keith L. Saunders, Edward J. Lynch, Joseph Neal Richardson Hearing Site: Dallas, TX
10-03359	04/22/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Paul T. Cahill Respondent(s): Michael Cook Respondent Lawyers(s): R. Rogge Dunn Arbitrator(s): Michael J. Ahlstrom, Joyce Sikora, Kenrick Albert Pratt Hearing Site: Orlando, FL
09-06674	11/02/2011	Claimant(s): Drew Freides Claimant Lawyers(s): R. Rogge Dunn Respondent(s): Goldman, Sachs and Company Respondent Lawyers(s): Robin D. Fessel Arbitrator(s): David J. Anderson, Edward A. Trabin, Robert Bruce MacDonald Hearing Site: Los Angeles, CA