FINRA Awards for San Francisco, CA

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

Displaying 371-380 out of 1,019 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
17-00121	11/02/2017	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Kevin J. Woods Respondent(s): Eric DeMarcus Respondent Lawyers(s): Eric Grant DeMarcus Arbitrator(s): Helen Marinak Blohm Hearing Site: San Francisco, CA
15-00148	10/30/2017	Claimant(s): James Wong, Justin Harris Claimant Lawyers(s): Jeffrey K. Riffer Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Rebecca L. Gerome Arbitrator(s): Anita Rae Shapiro, David Martin Achterkirchen, John Burritt McArthur Hearing Site: San Francisco, CA
16-02640	10/11/2017	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Kevin J. Woods Respondent(s): Terry Bailey Respondent Lawyers(s): Terry Lee Bailey Arbitrator(s): Lester Friedman, Alexandra M. Linden, Robert Sachs Mandelson Hearing Site: San Francisco, CA
17-00238	10/11/2017	Claimant(s): James Files Claimant Lawyers(s): Dochtor Kennedy Respondent(s): QA3 Financial Corp. Respondent Lawyers(s): Stephen K. Wild Arbitrator(s): Kevin C. Coleman Hearing Site: San Francisco, CA
16-01231	10/10/2017	Claimant(s): Jarold Stokes Claimant Lawyers(s): John R. Garner Respondent(s): Edward Jones Respondent Lawyers(s): Julie L. Taylor Arbitrator(s): John J. Fitzpatrick, Jonathan H. Krotinger, Herbert Siegfried Emmrich Hearing Site: San Francisco, CA
17-00710	10/06/2017	Claimant(s): Fidelity Brokerage Services LLC Claimant Lawyers(s): Jennifer A. Kenedy Respondent(s): John Nordstrom, Innovation Wealth Management Respondent Lawyers(s): Dylan W. Wiseman Arbitrator(s): Walter J. Huntley, Shawn Ridgell, Michael C. Pastena Hearing Site: San Francisco, CA
15-01067	10/04/2017	Claimant(s): Hugh Cotter, Susan Coghlan Claimant Lawyers(s): Christopher P. Mader Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Ralph L. Jacobson, David Martin Achterkirchen, Robert Mallin Hirsch Hearing Site: San Francisco, CA		Expungement
17-00825	10/03/2017	Claimant(s): Clarence Yee, Nicholas Cochran Claimant Lawyers(s): Jeffrey S. Kob Respondent(s): Donald Prolo, Joane Prolo Respondent Lawyers(s): Kenneth J. Catanzarite Arbitrator(s): Isidoro Berkman Hearing Site: San Francisco, CA		Expungement
16-01365	09/26/2017	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Kevin J. Woods Respondent(s): Mario Mendoza Respondent Lawyers(s): Melinda Jane Steuer Arbitrator(s): Ralph A. Cotton Hearing Site: San Francisco, CA
17-01225	09/25/2017	Claimant(s): Dana Smith Claimant Lawyers(s): Hilton Wiener Respondent(s): Lawrence Alfano, Itradedirect.Com Corp Respondent Lawyers(s): Eric Arlt, Lawrence Joseph Alfano Arbitrator(s): Jonathan H. Krotinger Hearing Site: San Francisco, CA		$111,505