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FINRA Awards for San Francisco, CA

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Displaying 191-200 out of 1,019 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0309303/22/2021Claimant(s): Virgil Threlkeld
Claimant Lawyers(s): David Monsour
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): David J. Romanski
Hearing Site: San Francisco, CA
20-0291303/19/2021Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Bradley Gardner
Respondent Lawyers(s): Bradley Everett Gardner
Arbitrator(s): Jeffrey M. Allen
Hearing Site: San Francisco, CA
19-0081603/15/2021Claimant(s): Reuben J Donig Atny At Law Sal Def Plan
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): Jon H. Sylvester, Gary Kostow, Carol Marshall
Hearing Site: San Francisco, CA
Checkmark Icon$0
20-0125703/15/2021Claimant(s): Nagarajan Duraisamy
Claimant Lawyers(s): Nagarajan Duraisamy
Respondent(s): Ally Invest Securities LLC
Respondent Lawyers(s): Kiran V. Somashekara
Arbitrator(s): Helen Marinak Blohm, John J. Fitzpatrick, Christopher Cother Powers
Hearing Site: San Francisco, CA
Checkmark Icon$0
19-0367903/10/2021Claimant(s): Kyra Kizirian
Claimant Lawyers(s): Kyra L Kizirian
Respondent(s): LPL Financial LLC, Eric Young, Keith Schmidt
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Lester Friedman, Jonathan H. Krotinger, Wendi Lee Eckardt
Hearing Site: San Francisco, CA
18-0402003/08/2021Claimant(s): Richard Trust
Claimant Lawyers(s): Richard Trust
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Herb Schwartz, Daniel M. Yamshon, Rosalind Ramsey Tyson
Hearing Site: San Francisco, CA
Checkmark Icon$298,400
20-0197503/05/2021Claimant(s): Russell Abbott
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Simon M. Levy
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
20-0286103/04/2021Claimant(s): Brian Peardon
Claimant Lawyers(s): Kurt Zimmerman
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Andrew S. Azarmi
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
19-0167003/03/2021Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin MacAvoy
Respondent(s): Mildred Patubo
Respondent Lawyers(s): Benjamin Winograd
Arbitrator(s): Dennis Markham Smith, Alden Sharp Adkins, Eduardo Barocio
Hearing Site: San Francisco, CA
18-0057302/18/2021Claimant(s): Frank Cuenca, Timothy Sullivan
Claimant Lawyers(s): Frank F. Sommers
Respondent(s): National Planning Holding LLC, SII Investments.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Barbara M. Anscher, Thomas Arthur Cohen, Christopher Cother Powers
Hearing Site: San Francisco, CA

1,019 Results

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