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FINRA Awards for Robert T. Sullwold

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Displaying 5 out of 5 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0189512/28/2011Claimant(s): Eric Broili
Claimant Lawyers(s): Robert T. Sullwold
Respondent(s): Andrew Crowell, The Andrew N. Crowell Family Trust
Respondent Lawyers(s): Bruce D. Oakes
Arbitrator(s): Nancy Hutt, Michael R.E. Sanders, Leonard Jeffrey Stecklow
Hearing Site: Reno, NV
Expungement
10-0147504/15/2011Claimant(s): H. Drobenaire, Luis Alvira
Claimant Lawyers(s): Dave L. Neville
Respondent(s): Henry Carter, Jason Blum, Iron Capital Securities
Respondent Lawyers(s): Robert T. Sullwold
Arbitrator(s): Robin Lynn Berry, Edwin C. Shiver, Mario Singleton
Hearing Site: San Francisco, CA
04-0077204/16/2009Claimant(s): Isabelita Nopuente, OB1 Ltd
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Cornelius Choy, H.D. Vest Investment Services
Respondent Lawyers(s): Gary S. Kessler, Robert T. Sullwold
Arbitrator(s): Thomas H. O'Connor, Peter H. Daly, Joseph A. Lasky
Hearing Site: San Francisco, CA
Checkmark Icon$0
07-0185006/10/2008Claimant(s): Nicola Dellaquila
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): White Pacific Securities.
Respondent Lawyers(s): Robert T. Sullwold
Arbitrator(s): John Cleaveland Palmer, Joel P. Mellis, Wayne P. Greene
Hearing Site: New York, NY
Checkmark Icon$129,600
05-0093711/27/2007Claimant(s): Li Li
Claimant Lawyers(s): Li Li
Respondent(s): Alex Shaw, White Pacific Securities.
Respondent Lawyers(s): Robert T. Sullwold
Arbitrator(s): Robin Lynn Berry, Alan P. Fraser, Dennis Markham Smith
Hearing Site: San Francisco, CA
Checkmark Icon$0

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