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FINRA Awards for Los Angeles, CA

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Displaying 991-1,000 out of 1,688 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0163212/20/2013Claimant(s): Ko Pu
Claimant Lawyers(s): Ko Fei Pu
Respondent(s): Firstrade Securities
Respondent Lawyers(s): Peter Gschweng
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
Checkmark Icon$175
12-0317512/10/2013Claimant(s): Walter Schild
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Joyce L. Hurley, Constance Ellen Boukidis, Owen Frances
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
11-0193412/09/2013Claimant(s): Stacy Stripling, Love Investments, Matisse Investments
Claimant Lawyers(s): Stacy Stripling
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Walter S. Weiss, Elliott David Finkel, Olivia J. Valentine
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
10-0440712/06/2013Claimant(s): Guadalupe Sandoval, Javier Chavez, Jose Fuentes, Maria Conchita Alonso, Roberto I. Nogales
Claimant Lawyers(s): Joseph C. Peiffer
Respondent(s): Rafael Sanchez, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kenneth C. Mennemeier, Rafael R. Sanchez
Arbitrator(s): Michael D. Harrison, Neil S. Jasper, Daniel Su
Hearing Site: Los Angeles, CA
Checkmark IconStipulated Award
11-0482012/06/2013Claimant(s): M. Otis, Otis Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph Calabrese
Arbitrator(s): Robert J. Ruben, Michael John Florio, Audrey Lynne Myer
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
13-0018712/03/2013Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Barry Belmont, Gordon Belmont, Lock Haven Industrial Park Inc., Towne Center Properties Inc., JLB/JAB Limited Partnership, GST Exempt Marital Trust, GST Exempt Residuary Trust, GST Non-Exempt Marital Trust
Respondent Lawyers(s): Barry Belmont, Gordon L. Belmont
Arbitrator(s): David J. Anderson, Laurent C. Vonderweidt, Karen A. Lockwood
Hearing Site: Los Angeles, CA
Expungement
12-0193711/29/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Brian Matz
Respondent Lawyers(s): Christine E. Goodrich
Arbitrator(s): Mark S. Priver, Edward Banian, Richard M. Norman
Hearing Site: Los Angeles, CA
13-0001011/26/2013Claimant(s): Steven Brahy
Claimant Lawyers(s): Steven Brahy
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Melvin S. Feldman, Michael M. Perrigue, Olivia J. Valentine
Hearing Site: Los Angeles, CA
12-0360111/25/2013Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Dianne Baquet Smith
Respondent(s): Jen Lee
Respondent Lawyers(s): Jen Yung Lee
Arbitrator(s): Herbert Murez, Ralph B. Perry, David S. Harrison
Hearing Site: Los Angeles, CA
11-0449511/19/2013Claimant(s): Mark Myden, L.A. Sports Productions Inc.
Claimant Lawyers(s): Marc X. LoPresti
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments, Nicholas Corso
Respondent Lawyers(s): Jay M. Spillane, Thomas F. Kopshever
Arbitrator(s): James Warren Hill, Ralph B. Perry, Michael R. Diliberto
Hearing Site: Los Angeles, CA
Checkmark IconExpungement

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