FINRA Awards for Paul W. Thomas

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Displaying 21-27 out of 27 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-03966	10/04/2012	Claimant(s): Tom York Claimant Lawyers(s): Paul W. Thomas Respondent(s): Morgan Stanley Respondent Lawyers(s): Wendy R. Robinson Arbitrator(s): Fred T. Kallet, James D. Knotter, Vytas Tarulis Hearing Site: San Diego, CA		Stipulated Award and Expungement
12-00792	09/05/2012	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Jonathan Berg, Esq. Respondent(s): Thomas Staples Respondent Lawyers(s): Paul W. Thomas Arbitrator(s): Joseph C. Roberts Hearing Site: Helena, MT
11-04099	04/13/2012	Claimant(s): Christina Nielson Claimant Lawyers(s): Rebecca E. MacLaren Respondent(s): Charles Bigham Respondent Lawyers(s): Paul W. Thomas Arbitrator(s): Elliott Zachary Seff Hearing Site: Los Angeles, CA		Expungement
09-03670	07/22/2011	Claimant(s): Robert Banks, Vita Banks, Robert R. Banks IRA, Vita Banks IRA Claimant Lawyers(s): Paul W. Thomas Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): James P. Delphey Arbitrator(s): Jo-Ann C. Little, Judith A. Gust, Sally G. Williams Hearing Site: San Diego, CA		Expungement
08-01582	06/26/2009	Claimant(s): Raymond, James & Associates. Claimant Lawyers(s): Robert M. Rudnicki Respondent(s): Joe King, Walter Woodrick Respondent Lawyers(s): Frederick S. Schrils, Paul W. Thomas Arbitrator(s): George A. Sellnau, Mark A. Myers, Rene Guas Hearing Site: New Orleans, LA
07-03470	12/02/2008	Claimant(s): Daniel Hurley Claimant Lawyers(s): Paul W. Thomas Respondent(s): Mark Moskowitz, Northeast Securities. Respondent Lawyers(s): Charles M. O'Rourke, Mark J. Moskowitz Arbitrator(s): Franklin G. Allen, James O. Johnson, Gino Dante Serpe Hearing Site: San Diego, CA		$80,000
07-00362	01/31/2008	Claimant(s): Jose Ruelas Claimant Lawyers(s): Paul W. Thomas Respondent(s): Wachovia Securities, Stephen Wilson Respondent Lawyers(s): Demian J. Betz, Peter Dolan Arbitrator(s): John Alen DeRosa, Robert W. Vernon, Frank L. Wolf Hearing Site: Los Angeles, CA		$0