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FINRA Awards for Steven H. Gentry

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Displaying 10 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0031212/04/2023Claimant(s): Andrea Freedlund
Claimant Lawyers(s): Andrea J. Freedlund
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene
Arbitrator(s): Jack R. Goetz, Steven H. Gentry, Gecole L. Harley
Hearing Site: Los Angeles, CA
Checkmark Icon$175
22-0135011/02/2023Claimant(s): Elite Pet Grooming Inc., Tadazzleme
Claimant Lawyers(s): Timika Snorton
Respondent(s): Brex Treasury LLC
Respondent Lawyers(s): Edrei G. Swanson
Arbitrator(s): Kirtley M. Thiesmeyer, Steven H. Gentry, Maggie Soleimani
Hearing Site: Los Angeles, CA
Checkmark Icon$0
22-0110308/01/2023Claimant(s): Nicholas Donovan, Nicholas & Antonieta Garcia Donovan
Claimant Lawyers(s): Sanford Mitchell Passman
Respondent(s): Herbert Messick, Cetera Advisor Networks LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Steven H. Gentry
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
21-0116811/24/2021Claimant(s): Abram Hernandez
Claimant Lawyers(s): Alex Farzan
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Jonathan J. Brennan
Arbitrator(s): Steven H. Gentry
Hearing Site: Los Angeles, CA
Checkmark Icon$0
18-0352407/30/2021Claimant(s): Sergio Praslin
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Investments
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Erik R. Siering, Eric Gad Forster, Steven H. Gentry
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
19-0289812/23/2020Claimant(s): Minoo Daneshrad, Minoo Daneshrad IRA
Claimant Lawyers(s): Gregory Simon
Respondent(s): Western International Securities.
Respondent Lawyers(s): Jeffrey Compton
Arbitrator(s): Kirtley M. Thiesmeyer, Steven H. Gentry, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
Checkmark IconSettlement
17-0259804/09/2019Claimant(s): Steven Moreno
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): T. Peter R. Pound
Arbitrator(s): Thomas E. Shuck, Lori A. Coleman, Steven H. Gentry
Hearing Site: Los Angeles, CA
Checkmark IconDismissed by Rule 12206/12504
17-0167803/14/2019Claimant(s): C.Billington S.T. for J.Billington Trust
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): P. Burke Esq.
Arbitrator(s): Anita Rae Shapiro, Noel Harvey Applebaum, Steven H. Gentry
Hearing Site: Los Angeles, CA
Checkmark IconDismissed by Rule 12206
17-0030804/12/2018Claimant(s): John Storm
Claimant Lawyers(s): John Gregory Storm
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey A. Wortman
Arbitrator(s): Marie Ann Stein, Steven H. Gentry, Mario Cavar Bickham
Hearing Site: Los Angeles, CA
15-0178302/12/2018Claimant(s): Joseph Semprini
Claimant Lawyers(s): Kathleen M. Hartman
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Benjamin F. Breslauer, Steven H. Gentry, Stephen Howard Marcus
Hearing Site: Los Angeles, CA

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