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FINRA Awards for Gilbert R. Serota

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Displaying 10 out of 11 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0412608/16/2022Claimant(s): Maria Fernbach
Claimant Lawyers(s): Stuart D. Meissner
Respondent(s): Charles Schwab & Co.., Pinnacle Associates, Ltd.
Respondent Lawyers(s): Gilbert R. Serota, James Nealon
Arbitrator(s): Paul C. Kurland, Kevin F. Cuddihy, Kenneth Brown
Hearing Site: New York, NY
Checkmark Icon$1,177,150
19-0217601/28/2022Claimant(s): Theresa Irene Deukmedjian IRA, Deukmedjian Revocable Family Trust
Claimant Lawyers(s): Nicholas Berg
Respondent(s): David Pathe, in his capacity as Atty, Charles Schwab & Co.., David Pathe IRA Contributory, The David Pathe Trust dtd 7/17/2002
Respondent Lawyers(s): George C. Miller, Gilbert R. Serota
Arbitrator(s): Mark R. Lee, Robert B. Hansohn, Janice L. Sperow
Hearing Site: San Diego, CA
Checkmark Icon$0
20-0367809/23/2021Claimant(s): Beyhan Kocatas, Eray Alkis, Erkan Alkis, Raymond Tanza, Steve Skiles
Claimant Lawyers(s): Jeff M. Meyerson
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Joseph Neal Richardson, John Gary Langford, Scott F Stains
Hearing Site: Dallas, TX
Checkmark Icon$0
14-0262404/01/2016Claimant(s): International Fidelity Insurance Company
Claimant Lawyers(s): Julius A. Rousseau
Respondent(s): Francis Mitterhoff, Charles Schwab & Co.., Maria Costa, Vincent Leonetti, Vincent Riccordella
Respondent Lawyers(s): Gilbert R. Serota, Julius A. Rousseau, Lawrence Cohen
Arbitrator(s): Louis H. Miron, Alan Gradzki, Joan Dawn Hogarth
Hearing Site: Newark, NJ
Checkmark Icon$0
11-0357506/03/2013Claimant(s): Torrey Pines Securities.
Claimant Lawyers(s): Michael Jacobs
Respondent(s): Adam Schwartz, Charles Schwab & Co..
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): James R. Duncan, Victoria E. Johnson, David W. Casey
Hearing Site: Los Angeles, CA
09-0422208/16/2010Claimant(s): Michelle Brilliant, Robert Hougie
Claimant Lawyers(s): David B. Gordon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Rebecca A. Novak, Judith E. Gross, Eva H. Posman
Hearing Site: New York, NY
Checkmark Icon$0
09-0154807/02/2010Claimant(s): John Weber, Stab Holdings
Claimant Lawyers(s): Peter S. Christiansen, Richard E. Tanasi
Respondent(s): Thomas Weisel Partners LLC
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Vernon Barnum, Linda Jane Jones, R. Peter Faris
Hearing Site: Las Vegas, NV
Checkmark Icon$0
08-0479009/15/2009Claimant(s): Charles E. Solak 401K Profit Sharing Pla
Claimant Lawyers(s): Charles E. Solak
Respondent(s): Jeffrey Parr, John Shaw, Thomas Weisel Partners LLC
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Charles Hoffman, Robert J. Saex, Michael S. Kozlow
Hearing Site: Ft. Lauderdale, FL
Checkmark Icon$0
08-0103605/08/2009Claimant(s): Bonnie Burdett & Joyce Anthony TTees of
Claimant Lawyers(s): George S. Trevor
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Helen Marinak Blohm, Bradley C. Mitchell, Fred D. Butler
Hearing Site: San Francisco, CA
Checkmark Icon$0
06-0530608/07/2008Claimant(s): Gustavo Vildosola Castro, Lorenza de Vildosola, Gustavo Vildosola & Lorenza Ramos de V
Claimant Lawyers(s): Richard A. Heller, Vincent D. Slavens
Respondent(s): Citigroup Global Markets., Juan Cabanas-Vildosola, UBS Financial Services Inc.
Respondent Lawyers(s): Gilbert R. Serota, Samuel A. Keesal
Arbitrator(s): Guenter S. Cohn, Doris V. Knotter, James Paul Estes
Hearing Site: San Diego, CA
Checkmark Icon$0

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