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FINRA Awards for Eric Raphan

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Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0161001/04/2024Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric Raphan
Respondent(s): Andrew Smith
Respondent Lawyers(s): Andrew Smith
Arbitrator(s): Bert P. Krages
Hearing Site: Portland, OR
15-0033702/02/2016Claimant(s): Steven Farris
Claimant Lawyers(s): Luke A. Baumstark
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Eric Raphan
Arbitrator(s): Bruce S. Feldacker, Albert J. Haller, Kim L. Kirn
Hearing Site: St. Louis, MO
13-0321304/20/2015Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric Raphan
Respondent(s): Caroline Tennant
Respondent Lawyers(s): Avi J. Lipman
Arbitrator(s): Laurie E. Law, Lawrence E. Little, Judith Hill Henderson
Hearing Site: Seattle, WA
13-0322802/06/2015Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric Raphan
Respondent(s): Christopher Wilkinson
Respondent Lawyers(s): Brennan H. Moss
Arbitrator(s): Langdon T. Owen, Gene R. Thornton, A. O. Headman
Hearing Site: Salt Lake City, UT
12-0031509/11/2013Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric Raphan
Respondent(s): Thomas Weaver
Respondent Lawyers(s): Thomas Andrew Weaver
Arbitrator(s): Frederick Michael Switzer
Hearing Site: St. Louis, MO
12-0135106/18/2013Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric Raphan
Respondent(s): Randall Silvey
Respondent Lawyers(s): Russell L. Powell
Arbitrator(s): James C. Morrow
Hearing Site: Kansas City, MO

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