Potomac Analytics' Logo

FINRA Awards for Steven A. Wawra

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 11-16 out of 16 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0167604/11/2012Claimant(s): Gary Brown, Estelle Brown Trust
Claimant Lawyers(s): Ralph Rogari
Respondent(s): Barry Bayat, UBS Financial Services Inc.
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Steven A. Wawra, Mary K. Foust, Robert Alan Merring
Hearing Site: Los Angeles, CA
Checkmark Icon$0
10-0304608/30/2011Claimant(s): Jason Coles
Claimant Lawyers(s): Christine A. Page
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Larry Haugaard, Neil S. Jasper, Steven A. Wawra
Hearing Site: Los Angeles, CA
09-0001705/27/2011Claimant(s): Gerard Balian
Claimant Lawyers(s): Gerard Balian
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John L. Erikson
Arbitrator(s): Edward A. Trabin, Edward Banian, Steven A. Wawra
Hearing Site: Los Angeles, CA
Checkmark Icon$4,300
09-0239103/16/2011Claimant(s): Alan Fenster, A Professional Corporation, Alan and Sandra Fenster, Alan Fenster Corporate Profit & Pension
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): J.P. Morgan Securities, Michael Goldberg, Robert Zeiger
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): John B. Wells, Richard J. Stall, Steven A. Wawra
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
09-0011606/14/2010Claimant(s): Richard Sampson
Claimant Lawyers(s): James A. Shalvoy
Respondent(s): Capmark Securities Inc.
Respondent Lawyers(s): John V. McDermott
Arbitrator(s): Victoria E. Johnson, Grace L. Heyne, Steven A. Wawra
Hearing Site: Los Angeles, CA
07-0103110/11/2007Claimant(s): Thomas Hulick
Claimant Lawyers(s): Paul Kroeger
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Marcie S. Mintz
Arbitrator(s): Harry Miller, Marvin B. Karelitz, Steven A. Wawra
Hearing Site: Los Angeles, CA

16 Results

Display: