FINRA Awards for Los Angeles, CA

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

Displaying 1,111-1,120 out of 1,688 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-03752	10/30/2012	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): David H. Smith Respondent(s): Michael Dicambio Respondent Lawyers(s): Michael DiCambio Arbitrator(s): Dennis A. Torres Hearing Site: Los Angeles, CA
11-00911	10/23/2012	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Julianne L. Peck Respondent(s): Barbara Horvath Respondent Lawyers(s): Jeffrey K. Compton Arbitrator(s): Michael G. Clark, Barton J. Brewer, David W. Dresnick Hearing Site: Los Angeles, CA
11-03911	10/22/2012	Claimant(s): Miriam Dean Claimant Lawyers(s): Miriam Dean Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Vanessa M. Hoffmann Arbitrator(s): Robert Rosen Hearing Site: Los Angeles, CA		$0
12-00964	10/16/2012	Claimant(s): U.S. Bancorp Investments. Claimant Lawyers(s): Matthew McConnell Respondent(s): David Kingsley Respondent Lawyers(s): David Maitland Kingsley Arbitrator(s): Laurent C. Vonderweidt Hearing Site: Los Angeles, CA
12-01308	10/15/2012	Claimant(s): Steven Caruso Claimant Lawyers(s): Steven F. Caruso Respondent(s): Kennedy, Cabot & Company Respondent Lawyers(s): Melanie L. Ronen Arbitrator(s): Richard J. Stall Hearing Site: Los Angeles, CA
11-01101	10/08/2012	Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Angelina E. Chew Respondent(s): Joseph Huntsman Respondent Lawyers(s): Joseph A. Walker Arbitrator(s): Edward J. Costello, Michael J. Fish, David L. Maislen Hearing Site: Los Angeles, CA
09-06268	10/04/2012	Claimant(s): Richman Bry Claimant Lawyers(s): Thomas Dressler Respondent(s): Citigroup Global Markets., Kevin Caputo Respondent Lawyers(s): Adam Kauff, Sylvia M. Scott Arbitrator(s): Robert C. Albini Hearing Site: Los Angeles, CA		Expungement
11-02442	10/02/2012	Claimant(s): Deutsche Bank Securities. Claimant Lawyers(s): Angelina Chew Respondent(s): Jon Javellana, Kenneth Ro, Barclays Capital Inc. Respondent Lawyers(s): Christopher A. Stecher, Naki Irvin Arbitrator(s): Robert A. Lombardi, Eric Gad Forster, Ara Kassabian Hearing Site: Los Angeles, CA
12-00241	09/25/2012	Claimant(s): Raymond James Financial Services. Claimant Lawyers(s): Kelli Bullington Respondent(s): Detroy Womack Respondent Lawyers(s): Detroy Lee Womack Arbitrator(s): Thanayi J. Lindsey Hearing Site: Los Angeles, CA
09-06807	09/24/2012	Claimant(s): Richard Barrett Claimant Lawyers(s): Patrick Baldwin Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Brody W. Weichbrodt Arbitrator(s): Dorothy B. Strackbein, Nancy G. Harris, Daniel David Kopman Hearing Site: Los Angeles, CA		Expungement