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FINRA Awards for Arthur E. Otten

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0166411/07/2011Claimant(s): Bruce Ballinger, Charles Davis, Doug Hammond, Joan Lerner, Judy Vincent, Lola Stanley, Michael Wei, Michelle Caforio, Robyn Hendershot, Sandra Davis, Sandra Foster, Sanford Lerner, Stephen Vail, Steven Ruby, Susan Ballinger, Susan Friede, Susan Hammond
Claimant Lawyers(s): Steven M. Feder
Respondent(s): Jeremy Hart, Evolve Securities.
Respondent Lawyers(s): Jeremy M. Hart, Scot Lenior
Arbitrator(s): Arthur E. Otten, Lawrence Douglas Brookes, David L. Erickson
Hearing Site: Denver, CO
Checkmark Icon$2,168,380
09-0482706/28/2011Claimant(s): Charles Vorwaller, Duane Sanders, James Thomas, Shirley Sanders, Woodrow Cole
Claimant Lawyers(s): James M. Thomas
Respondent(s): Shannon Bryant, Allianz Life Financial Services
Respondent Lawyers(s): Lawrence J. Field, Leif T. Simonson
Arbitrator(s): Arthur E. Otten, Bradford J. Lam, Wylie G. Hairgrove
Hearing Site: Denver, CO
Checkmark Icon$0

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