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FINRA Awards for Sterling N. Frost

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Displaying 21-30 out of 40 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0275402/23/2015Claimant(s): Rodolfo C. and Maria O. Del Real Family
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Andrew R. Epstein, Sterling N. Frost, Gary H. Kahn
Hearing Site: San Francisco, CA
Checkmark IconExpungement
13-0172011/24/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Mark Gillelen
Respondent Lawyers(s): Mark Calvin Gillelen
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
13-0001110/22/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
13-0076508/06/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Jimmy Stroud
Respondent Lawyers(s): Jimmy Clayton Stroud
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
10-0410903/31/2014Claimant(s): Lehman Brothers Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Christopher Clifford
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Gary A. Hooker, Sterling N. Frost, Michael J. Fish
Hearing Site: San Francisco, CA
13-0109402/27/2014Claimant(s): Peter McCabe
Claimant Lawyers(s): Peter McCabe
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
Checkmark Icon$163
12-0197507/23/2013Claimant(s): Alex Binai
Claimant Lawyers(s): D. Daxton White
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Michelle Judy Brant, Sterling N. Frost, Kenneth W. Gosliner
Hearing Site: San Francisco, CA
Checkmark IconExpungement
12-0243001/23/2013Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Karl Townsend, Karen Fann Townsend Trust
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Sterling N. Frost, James R. Dickson, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
Expungement
12-0167011/27/2012Claimant(s): Kimon Peter Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Ashley Nobili UFLUTMA, Corinne Nobili UFLUTMA, Raul Nobili Trust U/A dtd 11/02/99
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): Sterling N. Frost, James R. Dickson, Dean J. Dietrich
Hearing Site: San Francisco, CA
Expungement
12-0108309/19/2012Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): MBO Insurance Brokers. PSP
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Helen Marinak Blohm, Sterling N. Frost, James R. Dickson
Hearing Site: San Francisco, CA
Expungement

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