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FINRA Awards for Martin M. Berliner

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Displaying 10 out of 10 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0051905/18/2023Claimant(s): Michael Herman
Claimant Lawyers(s): Martin M. Berliner
Respondent(s): Securities America., Hunter Wyckoff, Matthew Cloutier, Michael Baum, Mutual of Omaha Investor Services.
Respondent Lawyers(s): Derek C. Anderson, Gregory M. Curley, Martin M. Berliner, Trenten P. Bausch
Arbitrator(s): Steven M. Feder, Mary C. Davis, K. Bruce Lang
Hearing Site: Denver, CO
11-0107004/08/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): James Shoffner
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Samuel E. Wing, Marilyn R. Lewis, Melissa Kay Kondziolka
Hearing Site: Denver, CO
11-0232508/30/2012Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scott Trimbach
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Larry D. Hayden, Charles G. Michaels, Ronald L. Lantz
Hearing Site: Denver, CO
09-0543805/05/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): James Gracia, Lorrie Mayes
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Marilyn R. Lewis, Timothy E. Taggart, Leonard M. Goldstein
Hearing Site: Denver, CO
08-0007206/19/2009Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Judy Louie
Respondent(s): Donald Peterson
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Martin Mandel, William R. Rafti, Patrick Owen King
Hearing Site: Reno, NV
06-0483007/03/2008Claimant(s): Jose Padilla
Claimant Lawyers(s): Martin M. Berliner
Respondent(s): Michael Jones, Patrick Sutherland, Ronald Bloomingkemper, Ronald Petranovich, USA Holdings., United Securities Alliance.
Respondent Lawyers(s): Julie M. Walker, Matthew T. Covington
Arbitrator(s): Robert D. Greenlee, Gerhard L. Schopen, Craig Stanley Ralston
Hearing Site: Denver, CO
06-0301405/19/2008Claimant(s): Berniece M Bonebrake Rev Trust
Claimant Lawyers(s): J. L. Spray
Respondent(s): Brian Schuster, Wachovia Securities, Rebecca Engle
Respondent Lawyers(s): Brian J. Schuster, Martin M. Berliner, Todd Ratner
Arbitrator(s): Felix Beard Davidson, Thomas C. Lauritsen, Hollie M. Mason
Hearing Site: Omaha, NE
Checkmark Icon$98,709
07-0146405/08/2008Claimant(s): Arvilla Orton, Arvilla Lorraine Orton 1st Trust UA dtd
Claimant Lawyers(s): Allan M. Lerner
Respondent(s): Rebecca Engle
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Stuart M. Rapee, Joel F. Martineau, James Conrad Sankpill
Hearing Site: Boca Raton, FL
Checkmark Icon$245,940
06-0350708/14/2007Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Steve Satter
Respondent(s): Brian Knotts, Robert Hyer
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Joan Helen Lukasik, Jerome O. Cohen, Ronald E. Lorentsen
Hearing Site: Seattle, WA
06-0350808/14/2007Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Steve Satter
Respondent(s): Robert Hyer
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s):
Hearing Site: Seattle, WA

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