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FINRA Awards for Records Custodian

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0070005/22/2024Claimant(s): John Kasel
Claimant Lawyers(s): Christopher F. Robertson
Respondent(s): KMS Financial Services., U.S. Bancorp Investments.
Respondent Lawyers(s): Briana Al Taqatqa, Records Custodian
Arbitrator(s): Katherine Hendricks, David William Hickman, Linda Dai-Fong Koa
Hearing Site: Seattle, WA
21-0120706/13/2022Claimant(s): David Fennema
Claimant Lawyers(s): Ariel Okonsky
Respondent(s): Securities Service Network
Respondent Lawyers(s): Records Custodian
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
21-0140312/28/2021Claimant(s): Nicholas Yrizarry
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Securities Service Network.
Respondent Lawyers(s): Records Custodian
Arbitrator(s): Erik R. Siering, Barton J. Brewer, Lawrence Craig Williams
Hearing Site: Los Angeles, CA

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