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FINRA Awards for Los Angeles, CA

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Displaying 10 out of 1,700 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0309711/26/2024Claimant(s): Lisa Lighthipe-Hinz
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Ashley Lucile Belleau, Keely D. Parr, Daniel James Kortum
Hearing Site: Los Angeles, CA
23-0312811/26/2024Claimant(s): Jane Cao
Claimant Lawyers(s): Harris Freedman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Emma M. Tomsick
Arbitrator(s): Jeffrey L. Malek
Hearing Site: Los Angeles, CA
24-0145311/22/2024Claimant(s): Stuart Tweedie
Claimant Lawyers(s): Stuart Tweedie
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Michael Evan Beckman
Hearing Site: Los Angeles, CA
Checkmark Icon$0
23-0166911/19/2024Claimant(s): The MW Trust
Claimant Lawyers(s): Andrew M Greenidge
Respondent(s): Saturna Brokerage Services
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Brent J. Rosenbaum, Jack R. Goetz, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
23-0058611/12/2024Claimant(s): Arline Miller, Arline Miller IRA
Claimant Lawyers(s): Arline Miller
Respondent(s): Jason Vanclef
Respondent Lawyers(s): Jason Vanclef
Arbitrator(s): Neil S. Jasper, Olivia J. Valentine, Barry D. Kaye
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
23-0154111/08/2024Claimant(s): Keith Krupka
Claimant Lawyers(s): Matthew Wilson
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Theodore E. Danciart, Paula K. Konikoff, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
Checkmark Icon$0
23-0163710/30/2024Claimant(s): Austin Saremi
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kathryn Perreault
Arbitrator(s): Roberta Haft, Edith N. Dinneen, April Paradise-Switzer
Hearing Site: Los Angeles, CA
23-0293910/25/2024Claimant(s): Michael Fordham
Claimant Lawyers(s): Gordon C. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Roberta Haft, Olivia J. Valentine, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
24-0080310/24/2024Claimant(s): D.A. Davidson & Co.
Claimant Lawyers(s): Nancy L Hendrickson
Respondent(s): Gregg Whelan
Respondent Lawyers(s): Austin Davis
Arbitrator(s): Robert D. Sussin, Jeffrey L. Malek, Anna Marie Turco
Hearing Site: Los Angeles, CA
23-0287110/23/2024Claimant(s): Andrew Stout
Claimant Lawyers(s): Peter Lindholm
Respondent(s): WAMU Investments., UBS Financial Services Inc., Citicorp Investment Services
Respondent Lawyers(s): Adam Kaufforate Officer, John Murphy
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA

1,700 Results

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