FINRA Awards for Norman Dale Menegat

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-02209	08/31/2021	Claimant(s): Nirmada Kaufman, Nirmada Lauren Ann Kaufman Rev. Trust Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Morgan Stanley, Peter Waterloo Respondent Lawyers(s): Kathleen Salvaty Arbitrator(s): Clifford A. Threlkeld, Robert James Favole, Norman D Menegat Hearing Site: San Francisco, CA		Expungement
17-02810	12/30/2019	Claimant(s): John Rossum Claimant Lawyers(s): Melinda J. Steuer Respondent(s): Bradley Gardner, Wells Fargo Advisors Financial Network Respondent Lawyers(s): Amir Tadjedin, Christopher A. Stecher Arbitrator(s): Ralph A. Cotton, Philip Aaron Tymon, Norman Dale Menegat Hearing Site: San Francisco, CA		Settlement
16-03174	03/07/2018	Claimant(s): Gary Fields, Marjorie Fields, Gary B. Fields Roth IRA, Gary B. Fields Traditional IRA, Marjorie Fields Traditional IRA, Fields Family Trust U/A DTD 10/04/1994 Claimant Lawyers(s): Cary S. Lapidus Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Philip A. McLeod Arbitrator(s): Laurel Littman Gothelf, Robert M. Smith, Norman Dale Menegat Hearing Site: San Francisco, CA		Expungement
14-00771	07/16/2015	Claimant(s): Frances Axelrad, Jonathan Axelrad Claimant Lawyers(s): Jotham S. Stein Respondent(s): Cira Nickerson, Eugene Gordon, Morgan Stanley Respondent Lawyers(s): Christopher A. Stecher Arbitrator(s): James N. D'Orso, Sterling N. Frost, Norman Dale Menegat Hearing Site: San Francisco, CA		$325,526