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FINRA Awards for Walter R. Whitman

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0371106/22/2011Claimant(s): Financial West Group
Claimant Lawyers(s): Edward S. Zusman
Respondent(s): Shail Mehta
Respondent Lawyers(s): Joanne H. Mehta
Arbitrator(s): Walter R. Whitman
Hearing Site: Los Angeles, CA
09-0205911/18/2010Claimant(s): William Quiros
Claimant Lawyers(s): David Gurnick
Respondent(s): Kevin Caputo, Merrill Lynch Pierce Fenner & Smith Inc., Steven Port
Respondent Lawyers(s): Christine A. Page, Susan L. Hoffman
Arbitrator(s): Barbara Faye Vosen, David W. Casey, Walter R. Whitman
Hearing Site: Los Angeles, CA
Checkmark Icon$500,000
07-0108706/12/2008Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): John Hernandez
Respondent Lawyers(s): Daniel L. Hitzke
Arbitrator(s): Basil Lewis, Walter R. Whitman, Carol Jeanne Medof
Hearing Site: Los Angeles, CA

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