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FINRA Awards for Barbara M. Anscher

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Displaying 10 out of 22 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0269905/25/2023Claimant(s): Beverly Ranken
Claimant Lawyers(s): Adam B. Wolf
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Barbara M. Anscher, Jon H. Sylvester, David Handsher
Hearing Site: San Francisco, CA
Checkmark IconExpungement
20-0037709/23/2021Claimant(s): Benjamin Mahdavi
Claimant Lawyers(s): Frances Menzer
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Scott T. Nonaka
Arbitrator(s): Barbara M. Anscher
Hearing Site: San Francisco, CA
20-0066808/27/2021Claimant(s): Estate of Gary Lynnes
Claimant Lawyers(s): Ty Lynnes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Daniel M. Yamshon, Barbara M. Anscher, Kerry C. Koep
Hearing Site: Bismarck, ND
Checkmark IconExpungement
18-0057302/18/2021Claimant(s): Frank Cuenca, Timothy Sullivan
Claimant Lawyers(s): Frank F. Sommers
Respondent(s): National Planning Holding LLC, SII Investments.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Barbara M. Anscher, Thomas Arthur Cohen, Christopher Cother Powers
Hearing Site: San Francisco, CA
17-0116812/29/2020Claimant(s): Michael Bowe
Claimant Lawyers(s): Michael E. Bowe
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Barbara M. Anscher, Michael Lancaster Garcia, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
Checkmark Icon$16,000
17-0108601/22/2020Claimant(s): Reuben Nemoto
Claimant Lawyers(s): Mitchell S. Wong
Respondent(s): Chirag Dave, Pacific Financial Partners LLC
Respondent Lawyers(s): Matthew C. Shannon
Arbitrator(s): Barbara M. Anscher, Christopher W. Allick, Michael Craig Butterworth
Hearing Site: Honolulu, HI
Checkmark IconSettlement
18-0248507/11/2019Claimant(s): Donald Rensch
Claimant Lawyers(s): David Neuman
Respondent(s): Travis Hudak
Respondent Lawyers(s): Dochtor Kennedy
Arbitrator(s): Donald N. Tolin, Richard Marc Weinroth, Barbara M. Anscher
Hearing Site: Salt Lake City, UT
Checkmark Icon$0
15-0132202/09/2018Claimant(s): Winnie Fang
Claimant Lawyers(s): William W. Palmer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Laurel Littman Gothelf, Barbara M. Anscher, Gary S. DeWeese
Hearing Site: San Francisco, CA
Checkmark Icon$0
16-0258512/12/2017Claimant(s): Debra Bitney, Debra Bitney Rev. Trust U/A DTD 3/1/11
Claimant Lawyers(s): John W. Stephens
Respondent(s): Morgan Stanley, Michael Louaillier, Morgan Stanley Wealth Management
Respondent Lawyers(s): Lesley Tepper, Thomas V. Dulcich
Arbitrator(s): Barbara M. Anscher, Peter Khalil, Philip Alan Johnson
Hearing Site: Portland, OR
Checkmark Icon$170,362
17-0008711/24/2017Claimant(s): Michael Rom
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Philip Steele, First Financial Services LLC
Respondent Lawyers(s): Jeffrey L. Fillerup
Arbitrator(s): Douglas W. Oldfield, Barbara M. Anscher, Jeffrey Scott Winaker
Hearing Site: San Francisco, CA

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