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FINRA Awards for Paul D. Gutierrez

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Displaying 10 out of 12 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0275111/22/2013Claimant(s): Christopher Gaertner, Jacqueline Gaertner
Claimant Lawyers(s): David E. Bamberger
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John P. Bevilacqua
Arbitrator(s): Richard L. Rubin, Paul D. Gutierrez, Ronald Chun
Hearing Site: San Francisco, CA
Checkmark IconExpungement
12-0171207/12/2013Claimant(s): Robert Epperson IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): David H. S. Commins
Arbitrator(s): Lester Friedman, Daniel M. Yamshon, Paul D. Gutierrez
Hearing Site: San Francisco, CA
Checkmark IconExpungement
10-0419104/24/2013Claimant(s): Herbert Huber, Kathryn Huber
Claimant Lawyers(s): Garry W. O'Donnell, Rose M. Schindler
Respondent(s): Marvin Remmich
Respondent Lawyers(s): Andrew Harris
Arbitrator(s): Paul D. Gutierrez, Jonathan H. Krotinger, William J. Petzel
Hearing Site: San Francisco, CA
Checkmark Icon$0
11-0407112/31/2012Claimant(s): Donald J. Kinosian DDS Inc. PS Plan
Claimant Lawyers(s): Richard Sacks
Respondent(s): Anthony Vlahiotis, Ameritas Investment Corp.
Respondent Lawyers(s): Amanpreet Kaur, Anthony Tom Vlahiotis
Arbitrator(s): Lester Friedman, Paul D. Gutierrez, John B. Weingart
Hearing Site: San Francisco, CA
Checkmark Icon$0
10-0526706/28/2012Claimant(s): Stacie Stallsworth-Bassi
Claimant Lawyers(s): Stacie Stallsworth-Bassi
Respondent(s): Jeffery Graumlich, Sigma Financial Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Alexandra M. Linden, Paul D. Gutierrez, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
Checkmark IconExpungement
11-0049405/29/2012Claimant(s): Barnard Lewis Family Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Chase Investment Services Corp., WAMU Investments.
Respondent Lawyers(s): Erika Imre Schindler, Joseph S. Simms
Arbitrator(s): Herbert Liberman, Amy Seltzer, Paul D. Gutierrez
Hearing Site: San Francisco, CA
Checkmark IconExpungement
10-0309004/10/2012Claimant(s): Denise Cooley
Claimant Lawyers(s): Neyleen Beljajev
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Kathryn J. Toronto, Paul D. Gutierrez, Juleanne A. Thiebaut
Hearing Site: San Francisco, CA
Checkmark IconExpungement
10-0197701/09/2012Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Sandeep Hingorani
Respondent Lawyers(s): Sandeep Hingorani
Arbitrator(s): Michael R. Mitchell, Paul D. Gutierrez, Elmo E. Wedderburn
Hearing Site: Reno, NV
09-0688405/05/2011Claimant(s): Lillian Kazezski, Stanley Kazezski, Kazezski Revocable Trust DTD 9/26/90
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Wedbush Securities Inc., Lisa Gallo
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Paul D. Gutierrez, Homer M. Dalbey, James Conrad Riewerts
Hearing Site: San Francisco, CA
Checkmark Icon$750,000
09-0274808/23/2010Claimant(s): James Boyer
Claimant Lawyers(s): Rew R. Goodenow
Respondent(s): Wachovia Securities, Eric Smith
Respondent Lawyers(s): G Thomas Fleming
Arbitrator(s): Paul D. Gutierrez, Mark Aaron Jones, Patrick Owen King
Hearing Site: Reno, NV
Checkmark Icon$25,000

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