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FINRA Awards for Thomas H. O'Connor

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0338101/19/2012Claimant(s): Todd Klumok, Ted Raker and Doris B. Raker
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Thomas H. O'Connor, Mary Margaret Bush, Arocles Aguilar
Hearing Site: Atlanta, GA
Checkmark Icon$66,174
09-0664405/20/2011Claimant(s): G. Arnold Lawton, G. Arnold Lawton Trust dtd 3/11/04
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Wells Fargo Investments, Jack Wong
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Walter P. Hitchcock, Thomas H. O'Connor, Jonathan H. Krotinger
Hearing Site: San Francisco, CA
Checkmark Icon$0
08-0138801/31/2011Claimant(s): Deborah Herman, Frederick Herman
Claimant Lawyers(s): Frederick Herman
Respondent(s): Colleen Langs, Charles Schwab & Co.., Marcia Novick
Respondent Lawyers(s): Garrett Wynne
Arbitrator(s): Laurel Littman Gothelf, Thomas H. O'Connor, Sterling N. Frost
Hearing Site: San Francisco, CA
Checkmark IconExpungement
08-0503305/24/2010Claimant(s): Harry Licursi
Claimant Lawyers(s): Harry E. Licursi
Respondent(s): Alonzo Wickers, Jon Neubert, Loy Holt, Pension Planners Securities.
Respondent Lawyers(s): Christopher P. Mader, Gina Duryea
Arbitrator(s): Lester Friedman, Thomas H. O'Connor, Norman S. Nayfach
Hearing Site: San Francisco, CA
04-0077204/16/2009Claimant(s): Isabelita Nopuente, OB1 Ltd
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Cornelius Choy, H.D. Vest Investment Services
Respondent Lawyers(s): Gary S. Kessler, Robert T. Sullwold
Arbitrator(s): Thomas H. O'Connor, Peter H. Daly, Joseph A. Lasky
Hearing Site: San Francisco, CA
Checkmark Icon$0

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