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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
12-0380207/24/2015Claimant(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
Checkmark IconExpungement
09-0502806/12/2013Claimant(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
10-0140311/07/2011Claimant(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
Checkmark Icon$0
10-0114505/27/2011Claimant(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
Checkmark Icon$428,800
09-0500604/06/2011Claimant(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
Checkmark IconExpungement

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