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FINRA Awards for Stephen Gary Holmes

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0325208/02/2019Claimant(s): Joseph Ziomek, Laguna Financial Group.
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Robyn C. Crowther
Arbitrator(s): Brent J. Rosenbaum, Adam Michael Porter, Stephen Gary Holmes
Hearing Site: Los Angeles, CA
10-0210711/06/2012Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Jeffrey N. Goldberg
Respondent(s): Zamir Siddiqi
Respondent Lawyers(s): Richard D. Burstein
Arbitrator(s): Robert J. Ruben, Anita Rae Shapiro, Stephen Gary Holmes
Hearing Site: Los Angeles, CA

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