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FINRA Awards for Thomas W. Gregory

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Displaying 7 out of 7 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0122010/28/2015Claimant(s): Colleen Levin, Jon Levin, Jon & Colleen Levin Trust dd 2/20/91
Claimant Lawyers(s): Michael D. Kennedy
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Larry Edmonson, Herbert Murez, Thomas W. Gregory
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
12-0319802/26/2015Claimant(s): Christopher Miller
Claimant Lawyers(s): John D. Singer
Respondent(s): Hartford Securities Distribution Co.
Respondent Lawyers(s): Denise M. Visconti
Arbitrator(s): Benjamin F. Breslauer, Thomas W. Gregory, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
13-0303708/05/2014Claimant(s): Jonathan Lewis
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Nicole Lenzi
Respondent Lawyers(s): Nicole Lenzi
Arbitrator(s): Thomas W. Gregory, Russell T. Doe, Holly Banafsheh
Hearing Site: Los Angeles, CA
Expungement
10-0425706/10/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Philip Duamarell
Respondent Lawyers(s): Michael Blumenfeld
Arbitrator(s): Richard J. Stall, Robert Bruce MacDonald, Thomas W. Gregory
Hearing Site: Los Angeles, CA
10-0119204/27/2011Claimant(s): The Wright Family Living Trust
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): John Marshall, Rollance Verkennis, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Joseph C. Campo
Arbitrator(s): Alan Stamm, Thomas W. Gregory, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
Checkmark Icon$1,761,100
09-0400902/22/2011Claimant(s): The Bypass Trust of the Allderdice, The King Credit Shelter Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S Adams
Arbitrator(s): Kenneth E. Owen, Karen A. Lockwood, Thomas W. Gregory
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
09-0118910/01/2010Claimant(s): David F. Wyatt and Nancy A. Wyatt
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Robert P. Clifford, Edward A. Trabin, Thomas W. Gregory
Hearing Site: Los Angeles, CA
Checkmark Icon$0

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