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FINRA Awards for Jerold R. Babin

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0581504/18/2012Claimant(s): Richard Greene
Claimant Lawyers(s): Lawrence E. Skidmore
Respondent(s): Azlina Harun, Linnajo Dombroski, Principal Life Insurance Company, Princor Financial Services Corporation, Principal Financial Group
Respondent Lawyers(s): Charles E. Coleman, Linnajo Dombroski, Sheena Jain
Arbitrator(s): Michelle Judy Brant, Jerold R. Babin, Jeffrey M. Allen
Hearing Site: San Francisco, CA
06-0536810/15/2008Claimant(s): Ji Wei
Claimant Lawyers(s): Bruce J. Rome
Respondent(s): Credit Suisse Securities (USA) LLC, Zhu Jun, Natural Flow Limited
Respondent Lawyers(s): Brian F. Amery, Bruce J. Rome, Jason P. Lee
Arbitrator(s): Charles E. Farnsworth, Jerold R. Babin, James S. Martin
Hearing Site: San Francisco, CA
Checkmark IconStipulated Award
07-0138309/08/2008Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Krittibas Ray
Respondent Lawyers(s): Alvin L. Fishman
Arbitrator(s): Mary Curran, Robert G. Miller, Jerold R. Babin
Hearing Site: San Francisco, CA

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