FINRA Awards for Los Angeles, CA

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Displaying 71-80 out of 1,700 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
22-01629	01/03/2024	Claimant(s): Lu Yu Claimant Lawyers(s): Harris Freedman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jason E. Murtagh Arbitrator(s): Michael Harrison Hearing Site: Los Angeles, CA
23-01085	01/02/2024	Claimant(s): Luis Espinoza Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Ameriprise Financial Services., FFEC Wealth Partners LLC Respondent Lawyers(s): Howard Klausmeier, Patrick W. Kelly Arbitrator(s): Michael W. Burnett, Andrew M. Mintzer, Stephen Howard Marcus Hearing Site: Los Angeles, CA
23-00783	12/26/2023	Claimant(s): Michael Sendowski Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Equitable Advisors Respondent Lawyers(s): Cheryl Howard Arbitrator(s): Craig Alan Gordon, Andrew W. Levin, Stuart John Webster Hearing Site: Los Angeles, CA
23-00712	12/21/2023	Claimant(s): Kenneth Park Claimant Lawyers(s): David Harrison Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Geoff Beckham Arbitrator(s): Robert D. Sussin Hearing Site: Los Angeles, CA
23-01465	12/18/2023	Claimant(s): Nazeeh Aranki Claimant Lawyers(s): Harris Freedman Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Michael Harrison Hearing Site: Los Angeles, CA
23-00104	12/15/2023	Claimant(s): Cory Boggs Claimant Lawyers(s): Michael Bessette Respondent(s): City National Securities. Respondent Lawyers(s): Jose A. Lopez Arbitrator(s): Robert C. Albini Hearing Site: Los Angeles, CA
23-01335	12/11/2023	Claimant(s): Christopher Rieger Claimant Lawyers(s): Harris Freedman Respondent(s): A.G.P. / Alliance Global Partners Respondent Lawyers(s): Gregg J. Breitbart Arbitrator(s): Kirtley M. Thiesmeyer Hearing Site: Los Angeles, CA
23-00312	12/04/2023	Claimant(s): Andrea Freedlund Claimant Lawyers(s): Andrea J. Freedlund Respondent(s): Northwestern Mutual Investment Services, Respondent Lawyers(s): Clarke C. Greene Arbitrator(s): Jack R. Goetz, Steven H. Gentry, Gecole L. Harley Hearing Site: Los Angeles, CA		$175
23-00743	11/20/2023	Claimant(s): Yang Nie Claimant Lawyers(s): Everett Pritchard Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jason E. Murtagh Arbitrator(s): Edith N. Dinneen Hearing Site: Los Angeles, CA
23-00234	11/17/2023	Claimant(s): Jeanne Mount Claimant Lawyers(s): Jeanne Mount Respondent(s): Brooke Spicer, Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): Mary M. O'Neil, Kendall C. Reed, Maxx O Brawer Hearing Site: Los Angeles, CA		$0