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FINRA Awards for Arthur Alef

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0193708/16/2010Claimant(s): Rina Schwarz, Rina Schwarz Revocable 1996 Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Dusan Zachystal, Individual Asset Management, Interactive Brokers LLC
Respondent Lawyers(s): Derek C. Anderson, Jeffrey D. Fox
Arbitrator(s): Arthur T. Berggren, Mark A. Karpe, Arthur Alef
Hearing Site: Los Angeles, CA
Checkmark Icon$0
06-0431002/13/2009Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Paul J. Schumacher
Respondent(s): Jaysen McCleary
Respondent Lawyers(s): Lenny Steiner
Arbitrator(s): Lawrence Yaeger, Kendall C. Reed, Arthur Alef
Hearing Site: Los Angeles, CA

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