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FINRA Awards for Laura Effel

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Displaying 5 out of 5 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0569710/26/2011Claimant(s): Algrie Bridges
Claimant Lawyers(s): Algrie M. Bridges
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie Ronen
Arbitrator(s): Robert E. Thompson, Laura Effel, Susan B. Gans-Smith
Hearing Site: San Francisco, CA
09-0168506/18/2010Claimant(s): Kenneth S. L. Ching and Anita N. Ching
Claimant Lawyers(s): Margery S. Bronster
Respondent(s): Gregory Kwan, Charles Schwab & Co..
Respondent Lawyers(s): Michele Fron
Arbitrator(s): James R. Dickson, Laura Effel, Walter H. Ikeda
Hearing Site: Honolulu, HI
Checkmark IconExpungement
08-0045212/30/2009Claimant(s): Paige Sherman
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Richard L. Rubin, Laura Effel, Robert M. Lubin
Hearing Site: San Francisco, CA
09-0249810/15/2009Claimant(s): The Gulesserian Living Trust
Claimant Lawyers(s): Ryan Gulesserian
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Harper Fertig
Arbitrator(s): Laura Effel
Hearing Site: San Francisco, CA
Checkmark Icon$1,475
04-0085011/16/2007Claimant(s): Dane Faber
Claimant Lawyers(s): Phyllis E. Andelin
Respondent(s): Carl Martellaro, First Securities USA., C. Martellaro TTEE First Securities
Respondent Lawyers(s): H Thomas Fehn, Ken Baker
Arbitrator(s): Laura Effel, Jeffrey M. Allen, Joseph M. O'Connor
Hearing Site: San Francisco, CA

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