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FINRA Awards for Robert J. Girard

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Displaying 10 out of 21 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0247303/15/2024Claimant(s): Marie Steinman
Claimant Lawyers(s): Robert J. Girard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
16-0325208/02/2019Claimant(s): Joseph Ziomek, Laguna Financial Group.
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Robyn C. Crowther
Arbitrator(s): Brent J. Rosenbaum, Adam Michael Porter, Stephen Gary Holmes
Hearing Site: Los Angeles, CA
16-0367110/05/2018Claimant(s): Frank Meyers, Meyers FLP, Kepner Plastics Profit Sharin Plan, Frank Meyers Family Trust, Meryl Lee on behalf of Calle Mayor Trust
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Robert E. Jenks, Holly Banafsheh, Owen Frances
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
17-0004307/16/2018Claimant(s): Mary Millman
Claimant Lawyers(s): Val D. Hornstein
Respondent(s): Ankit Sahu, UBS Financial Services Inc.
Respondent Lawyers(s): Philip A. McLeod, Robert J. Girard
Arbitrator(s): Robert M. Smith, Kevin C. Coleman, Glenn Paul Gilbert
Hearing Site: San Francisco, CA
Checkmark Icon$0
16-0080206/01/2018Claimant(s): Joel Kettler
Claimant Lawyers(s): Robert J. Girard
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Alexander
Arbitrator(s): Elliott D. Finkel, Jeanne E. Irving, Jack R. Goetz
Hearing Site: Los Angeles, CA
16-0084707/13/2017Claimant(s): Agatha Dancy, John Dancy
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Wedbush Securities Inc., Mark Augusta
Respondent Lawyers(s): Charles LaChaussee, David S. Harrison
Arbitrator(s): A. Joel Klein, Owen J. Thomsen, Carolyn Renee Payne
Hearing Site: Los Angeles, CA
Checkmark Icon$1,519,360
15-0305712/06/2016Claimant(s): Aaron Suen
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Peter McDonnell
Respondent Lawyers(s): William J. Nissen
Arbitrator(s): Edward Louis Koven, Elaine Munson Loeser, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
Checkmark IconExpungement
15-0062212/02/2016Claimant(s): Michael Phillip
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Respondent Lawyers(s): Edward J. Heffernan
Arbitrator(s): A. Joel Klein, Steven A. Wawra, Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
13-0360106/08/2016Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Holly J. Sutton
Respondent(s): Vincent Woo
Respondent Lawyers(s): Robert J. Girard
Arbitrator(s): Daniel R. Brush, Kendall C. Reed, George Herman Frisch
Hearing Site: Los Angeles, CA
14-0228805/22/2015Claimant(s): JCP Securities.
Claimant Lawyers(s): Jeffrey K. Riffer
Respondent(s): Jason Wright, Stephen Perry, BA Securities
Respondent Lawyers(s): Jeffrey K. Riffer, Robert J. Girard
Arbitrator(s): Michael D. Harrison, William Lee Krantz, BaoKim N. Coleman
Hearing Site: Los Angeles, CA

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