FINRA Awards for San Francisco, CA

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 181-190 out of 1,019 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-03369	05/21/2021	Claimant(s): Rey Deborja Claimant Lawyers(s): Kartikey Pradhan Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Patrick J. Mulligan Arbitrator(s): Gary A. Hooker, Thomas D. Reese, Keara Kelly Roethke Hearing Site: San Francisco, CA
20-03010	05/20/2021	Claimant(s): Joshua Williamson Claimant Lawyers(s): Chelsea Masters Respondent(s): Transamerica Financial Advisors Respondent Lawyers(s): Susan D. Duff Arbitrator(s): Mary Margaret Bush Hearing Site: San Francisco, CA
20-02180	05/14/2021	Claimant(s): Leigh Jeter Stanford Claimant Lawyers(s): Benjamin Winograd Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Julie L. Taylor Arbitrator(s): David J. Romanski Hearing Site: San Francisco, CA
20-00737	04/29/2021	Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Timothy N. Will Respondent(s): Aaron Chung Respondent Lawyers(s): Aaron Moon-Young Chung Arbitrator(s): Daniel M. Yamshon Hearing Site: San Francisco, CA
20-03171	04/29/2021	Claimant(s): Anna Jenkins Claimant Lawyers(s): Robert L. Gonser Respondent(s): Banc of America Investment Services Inc. Respondent Lawyers(s): Patrick J. Mulligan Arbitrator(s): William Michael Samsel Hearing Site: San Francisco, CA
20-02613	04/23/2021	Claimant(s): Joseph Eschleman Claimant Lawyers(s): Michael Bessette Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Geoff Beckham Arbitrator(s): Philip Aaron Tymon Hearing Site: San Francisco, CA
20-01591	04/07/2021	Claimant(s): Richard Baer Claimant Lawyers(s): Benjamin Winograd Respondent(s): Lefcourt Financial Group. Respondent Lawyers(s): Corporate Officer Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA
20-03024	04/06/2021	Claimant(s): John Orito Claimant Lawyers(s): Erika Binnix Respondent(s): LPL Financial LLC Respondent Lawyers(s): Sara B. Davis Arbitrator(s): Michael Lancaster Garcia Hearing Site: San Francisco, CA
19-00539	04/05/2021	Claimant(s): Kenneth Snodgrass, Kenneth Snodgrass Revocable Trust Claimant Lawyers(s): Fran Cole Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Judy Louie Arbitrator(s): Nancy Hutt, Gary H. Kahn, Arocles Aguilar Hearing Site: San Francisco, CA		Expungement
20-02699	03/26/2021	Claimant(s): David Brown Claimant Lawyers(s): Chelsea Masters Respondent(s): LPL Financial LLC, Park Avenue Securities LLC Respondent Lawyers(s): Kristin Wynne, Sara B. Davis Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA