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FINRA Awards for Rosemary J. Shockman

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0277609/25/2014Claimant(s): Jeffrey Gottlieb Living Trust
Claimant Lawyers(s): Rosemary J. Shockman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): John F. Burns, Patrick R. Sughroue, Christopher R. Gullen
Hearing Site: Detroit, MI
Checkmark Icon$0
12-0071105/28/2013Claimant(s): Myron Murray, Rita Murray
Claimant Lawyers(s): Rosemary J. Shockman
Respondent(s): Gordon Yee
Respondent Lawyers(s): David A. Baugh
Arbitrator(s): I. Douglas Dunipace, Thomas A. Peterson, Virginia H. Wertz
Hearing Site: Phoenix, AZ
Checkmark Icon$100,400
10-0180001/07/2011Claimant(s): Jimmy Hair, Karen Hair, Oceans 30.
Claimant Lawyers(s): Rosemary J. Shockman
Respondent(s): Jared Roskelley, Sagepoint Financial., Keith Degreen
Respondent Lawyers(s): Alan Baskin, Robert B. Ericson, Robert D. Mitchell
Arbitrator(s): Charles W. Herf, Marc Kalish, Henry L. Dahl
Hearing Site: Phoenix, AZ
Checkmark IconExpungement

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