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FINRA Awards for Dolores Smallen

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0025802/19/2014Claimant(s): Dolores Smallen, Martin Smallen, The Smallen Family Trust U/A dated 5/31/
Claimant Lawyers(s): Christopher Gray
Respondent(s): Shawn Davis, Berthel, Fisher & Company Financial Svcs
Respondent Lawyers(s): Louis H. Castoria
Arbitrator(s): Jane Bradley, Jonathan Holman Hathaway, David I. Levine
Hearing Site: San Francisco, CA
Checkmark IconDismissed by Rule 12206

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