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FINRA Awards for Edward J. Harkins

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Displaying 7 out of 7 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0001308/25/2015Claimant(s): S & S Farms.
Claimant Lawyers(s): Richard Sacks
Respondent(s): Philip Pizelo, Shanon Ford, Toni Sutherland
Respondent Lawyers(s): David Wakukawa, Philip A. Pizelo, Shanon L. Ford
Arbitrator(s): James N. D'Orso, Thomas D. Reese, Edward J. Harkins
Hearing Site: San Francisco, CA
Checkmark IconExpungement
11-0180301/07/2015Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Leslie Wolfson
Respondent Lawyers(s): David Sternberg
Arbitrator(s): Herb Schwartz, Gary S. DeWeese, Edward J. Harkins
Hearing Site: San Francisco, CA
10-0411706/25/2012Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Gregory Weiss
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Nancy Hutt, Gary H. Kahn, Edward J. Harkins
Hearing Site: San Francisco, CA
10-0419203/29/2012Claimant(s): Annie Zeigon, James Zeigon
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): First Republic Securities Company
Respondent Lawyers(s): Sara B. Brody
Arbitrator(s): Jeffrey M. Allen, Norman S. Nayfach, Edward J. Harkins
Hearing Site: San Francisco, CA
Checkmark Icon$870,632
09-0366002/16/2012Claimant(s):
Claimant Lawyers(s):
Respondent(s): Fuad Mansour, Signator Investors., John Hancock Mutual Life Insurance Com
Respondent Lawyers(s): John C. Holmes, Mark J Hancock, William A. Gottlieb
Arbitrator(s): Ferdinand Schoch, Robert Hilton Keller, Edward J. Harkins
Hearing Site: San Francisco, CA
Checkmark IconStipulated Award and Expungement
09-0619810/04/2010Claimant(s): Carol West
Claimant Lawyers(s): Carol West
Respondent(s): Martin Gates, Omni Brokerage., Western America Brokerage LLC
Respondent Lawyers(s): Patrick L. Hinton, Rebecca E. Delany
Arbitrator(s): Jonathan Holman Hathaway, Benjamin Slomoff, Edward J. Harkins
Hearing Site: San Francisco, CA
Checkmark IconExpungement
08-0020007/23/2009Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Crystal Masset, Steve Russell, Timothy Hartman
Respondent Lawyers(s): Diane C. Fischer, Mark H. Gunderson
Arbitrator(s): Helen Marinak Blohm, Jeffrey M. Allen, Edward J. Harkins
Hearing Site: Reno, NV

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