FINRA Awards for William P. Wallenstein

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Displaying 6 out of 6 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
13-03776	05/21/2014	Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): William P. Wallenstein Respondent(s): Matthew Ortman Respondent Lawyers(s): Matthew John Ortman Arbitrator(s): Mitchel Weiss Hearing Site: Jacksonville, FL
11-02217	07/23/2013	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): William P. Wallenstein Respondent(s): Eric DeMarcus, William Yates Respondent Lawyers(s): Eric DeMarcus, William P. Wallenstein Arbitrator(s): Edwin C. Shiver, Gerald Joseph Wilfley, Martin Joel Fassler Hearing Site: San Francisco, CA
11-01929	04/22/2013	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): William P. Wallenstein Respondent(s): Daniel Botyos, Lewis Blalock Respondent Lawyers(s): David C. Reeves Arbitrator(s): Colleen Grace, Frank William Savino, Raymond E. Cornelius Hearing Site: Orlando, FL
12-02838	01/17/2013	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): William P. Wallenstein Respondent(s): David Bearden Respondent Lawyers(s): David E. Bearden Arbitrator(s): Helen Marinak Blohm Hearing Site: San Francisco, CA
12-00406	08/17/2012	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): William P. Wallenstein Respondent(s): Cary Rosenfeld Respondent Lawyers(s): Cary Rosenfeld Arbitrator(s): Walter S. Weiss Hearing Site: Los Angeles, CA
11-02260	12/30/2011	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): William P. Wallenstein Respondent(s): Ted Shin Respondent Lawyers(s): Ted Sung-Woo Shin Arbitrator(s): Robert Rosen Hearing Site: Los Angeles, CA