FINRA Awards for Herbert L. Brown

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Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
12-03802	07/24/2015	Claimant(s): James Randolph Claimant Lawyers(s): David Liebrader Respondent(s): Harry Rubins, Foothill Securities. Respondent Lawyers(s): Timothy Fredricks Arbitrator(s): Herbert L. Brown, Jonathan H. Krotinger, Sheldon Michaels Hearing Site: San Francisco, CA		Expungement
09-05028	06/12/2013	Claimant(s): Wachovia Securities Claimant Lawyers(s): Timothy N. Will Respondent(s): Steven Stahlberg Respondent Lawyers(s): Stephen F. Boutin Arbitrator(s): Laurel Littman Gothelf, Herbert L. Brown, Jonathan H. Krotinger Hearing Site: San Francisco, CA
10-01403	11/07/2011	Claimant(s): Alliance Semiconductor Corp. Claimant Lawyers(s): Robert S. Chapman Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Jonathan K. Youngwood Arbitrator(s): Gary H. Kahn, Herbert L. Brown, Jeffrey M. Allen Hearing Site: San Francisco, CA		$0
10-01145	05/27/2011	Claimant(s): Jason H. Solomon and Janet Solomon Trust Claimant Lawyers(s): Mitchell S. Ostwald Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): Deborah Dickstein Arbitrator(s): Paul F. Faberman, Peter H. Daly, Herbert L. Brown Hearing Site: San Francisco, CA		$428,800
09-05006	04/06/2011	Claimant(s): John Dailey Claimant Lawyers(s): Irwin G. Stein Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Audette Paul Morales Arbitrator(s): Herbert L. Brown, Jonathan H. Krotinger, Fern M. Laethem Hearing Site: San Francisco, CA		Expungement