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FINRA Awards for WAMU Investments.

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Displaying 11-18 out of 18 results
Case Number Award Date Case Summary Customer Case? Amount Granted
07-0233302/11/2010Claimant(s): Aaron Leone
Claimant Lawyers(s): Jesper I. Rasmussen
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Douglas A. Wickham
Arbitrator(s): Daniel M. Yamshon, William A. Husa, Joseph M. O'Connor
Hearing Site: San Francisco, CA
08-0374212/18/2009Claimant(s): Arnold P. Jonas and Emma M. Jonas
Claimant Lawyers(s): Robert A. Peterson
Respondent(s): WAMU Investments., Robert Fogarty, AIG Annuity Insurance Company
Respondent Lawyers(s): Dan Marmalefsky, Stephanie L. Johnson
Arbitrator(s): Alan Stamm, Martin Mandel, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
Checkmark Icon$0
07-0183903/09/2009Claimant(s): Shannon Miller
Claimant Lawyers(s): Shannon C. Miller
Respondent(s): WAMU Investments., Paul Budnek
Respondent Lawyers(s): Keith A. Ketterling
Arbitrator(s): Elizabeth L. Morrison, Judith A. Cochrane, Nancy J. Highness
Hearing Site: Seattle, WA
Checkmark Icon$14,880
08-0244001/28/2009Claimant(s): Ann Hibner Koblitz, Neal Koblitz
Claimant Lawyers(s): Ann Hibner Koblitz, Neal Koblitz
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Christopher Wells
Arbitrator(s): William J. Bender
Hearing Site: Seattle, WA
Checkmark Icon$3,425
06-0469508/29/2008Claimant(s): Flavia LoCoco
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Jason S. Mills
Arbitrator(s): Ralph H. Erickson, Holly Banafsheh, Steven K. Ogata
Hearing Site: Los Angeles, CA
07-0204501/15/2008Claimant(s): Jane Moyle
Claimant Lawyers(s): Jane Moyle
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Susan L. Formaker
Arbitrator(s): Ronald O. Bub
Hearing Site: San Diego, CA
Checkmark Icon$0
07-0041012/20/2007Claimant(s): Issa Razzaghi
Claimant Lawyers(s): Issa Razzaghi
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Richard B. Davis
Arbitrator(s): Larry Edmonson
Hearing Site: Los Angeles, CA
Checkmark Icon$7,500
04-0878010/02/2007Claimant(s): Genevieve Dusing
Claimant Lawyers(s): Wild Chang
Respondent(s): Darren Tolan, WAMU Investments.
Respondent Lawyers(s): Darren R. Tolan, Gregory J. Sherwin
Arbitrator(s): Robert S. Fash, Clyde Kenan Oldham, Frederick N. Bailard
Hearing Site: Los Angeles, CA
Checkmark Icon$373,300

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