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FINRA Awards for Jim Lau

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Case Number Award Date Case Summary Customer Case? Amount Granted
01-0002811/29/2007Claimant(s): Guity Moghadam, Jonathan Peace, Susan Peace
Claimant Lawyers(s): Jonathan E. Peace
Respondent(s): Jim Lau, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bryan I. Reyhani
Arbitrator(s): Linda Marie Edson, Ernest L. Burnside, Laurel L. Hyde
Hearing Site: San Diego, CA
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