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FINRA Awards for Steve A. Buchwalter

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Displaying 5 out of 5 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0182401/09/2023Claimant(s): Betsy Merritt, Joseph Singleton
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Janice Cartwright, John Cartwright
Respondent Lawyers(s): Johnny L. Antwiler
Arbitrator(s): Benjamin F. Breslauer, Thomas Mason Harwood, Eric Beatty
Hearing Site: Los Angeles, CA
20-0203407/02/2021Claimant(s): Shomir Mukherjee
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Erik R. Siering, Constance Ellen Boukidis, Brant Jackson Griffin
Hearing Site: Los Angeles, CA
16-0211004/22/2020Claimant(s): Richard D. Marconi Trust
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Todd Rustman
Respondent Lawyers(s): Jason Luhan
Arbitrator(s): Ronald L. Cameron, Barry A. Fisher, David K. Slay
Hearing Site: Los Angeles, CA
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12-0093611/29/2012Claimant(s): Fariba Madison
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Rita Kennann
Respondent Lawyers(s): Arline P. Vezina
Arbitrator(s): A. Joel Klein, Joyce L. Hurley, Karen A. Lockwood
Hearing Site: Los Angeles, CA
Expungement
11-0148706/28/2012Claimant(s): Jason Lowther
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Larry Haugaard, Donald A. Duncan, Robert Alan Merring
Hearing Site: Los Angeles, CA

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