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FINRA Awards for Willard H. Altman

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0297911/18/2011Claimant(s): Robert Stafford
Claimant Lawyers(s): Paul S. Chan, Roger H. Foster
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): Elliott Zachary Seff, Willard H. Altman, Chuba B. Abaelu
Hearing Site: Los Angeles, CA
Checkmark Icon$0
09-0477301/04/2011Claimant(s): Rhoda Seidler Revocable Trust
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Elizabeth H Lindh
Arbitrator(s): Melvin S. Feldman, Richard William DeWeese, Willard H. Altman
Hearing Site: Los Angeles, CA
Checkmark Icon$208,000
08-0293202/18/2010Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): James Patton
Respondent Lawyers(s): Lisa Bond
Arbitrator(s): Basil Lewis, Willard H. Altman, James Belk
Hearing Site: Los Angeles, CA

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