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FINRA Awards for Herbert Liberman

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Displaying 11-20 out of 43 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0314509/10/2021Claimant(s): Wilgus Family Survivors Trust
Claimant Lawyers(s): Jeffrey K. Wilgus
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Herbert Liberman, Katherine Jane Morris, Helen W. Kinnaird
Hearing Site: San Diego, CA
Checkmark IconDismissed by Rule 12504(b)
20-0283904/20/2021Claimant(s): Catherine Ward
Claimant Lawyers(s): Kimberly Ward
Respondent(s): Alicia Kitz, Michael Bahary, Hilltop Securities Inc.
Respondent Lawyers(s): Edward Zusman
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
Checkmark Icon$0
14-0385701/13/2020Claimant(s): Charlotte B. Milliner SEP IRA, Charlotte B Milliner Trust dtd 1/30/1997
Claimant Lawyers(s): David Sturgeon-Garcia
Respondent(s): Mary Evans, Thomas Bock
Respondent Lawyers(s): Frances Menzer
Arbitrator(s): Herbert Liberman, Donald H. Korn, Shawn Ridgell
Hearing Site: San Francisco, CA
Checkmark Icon$773,527
19-0041310/04/2019Claimant(s): Robert Rose
Claimant Lawyers(s): Frances Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
19-0001409/12/2019Claimant(s): Derek Myron
Claimant Lawyers(s): Frances Menzer
Respondent(s): Caplink Securities
Respondent Lawyers(s): Scott L. Dahle
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
19-0038109/06/2019Claimant(s): Jeff Menning
Claimant Lawyers(s): Frances Menzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
16-0347305/17/2019Claimant(s): Brenda Balok, Stephen Balok
Claimant Lawyers(s): Clinton Marrs
Respondent(s): Morgan Stanley
Respondent Lawyers(s): John Worden
Arbitrator(s): Thaddeus J. Tecza, Herbert Liberman, James Mark Eason
Hearing Site: Albuquerque, NM
Checkmark Icon$519,089
18-0245102/05/2019Claimant(s): Richard Potashner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Herbert Liberman
Hearing Site: Salt Lake City, UT
18-0119612/18/2018Claimant(s): Scott Hood
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Judy Louie, Randi P. Spallina
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
18-0039809/27/2018Claimant(s): Young Chung
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA

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