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FINRA Awards for San Diego, CA

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Displaying 331-340 out of 379 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0395202/01/2010Claimant(s): Crisostomo ("Tom") Garcia, Crisostomo B. Garcia Trust
Claimant Lawyers(s): James P. Delphey
Respondent(s): Stephen Kaplan, Gilford Securities Incorporated
Respondent Lawyers(s): Gabriel A. Mendel, Martin H. Kaplan
Arbitrator(s): Guenter S. Cohn, Barry E. Kersh, Evelyn R. Wiggins
Hearing Site: San Diego, CA
Checkmark Icon$0
07-0099901/29/2010Claimant(s): Wachovia Securities
Claimant Lawyers(s): Judy Louie
Respondent(s): Stephen Whitman
Respondent Lawyers(s): Neda Ataie
Arbitrator(s): Harvey C. Flodin, Joseph T. Donnantuoni, Kevin K. Forrester
Hearing Site: San Diego, CA
09-0193101/21/2010Claimant(s): Ellen Baron
Claimant Lawyers(s): William S. Bonnheim
Respondent(s): Mark Holland, Banc of America Investment Services Inc.
Respondent Lawyers(s): John Bamford
Arbitrator(s): Lester G. Stiel
Hearing Site: San Diego, CA
Checkmark Icon$13,713
09-0417201/21/2010Claimant(s): Mustafa Amanatullah
Claimant Lawyers(s): Mustafa I. Amanatullah
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Catherine C. Luth
Arbitrator(s): Janice L. Sperow
Hearing Site: San Diego, CA
Checkmark Icon$31,575
09-0197212/22/2009Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Patrick J. Folan
Respondent(s): Eric Rice
Respondent Lawyers(s): Eric Allen Rice
Arbitrator(s): James B. Guillou
Hearing Site: San Diego, CA
07-0339911/30/2009Claimant(s): Brian Kenner, Kathleen Kenner, BKK Acquisition II, BKK Acquisition III, BKK Holdings
Claimant Lawyers(s): Michael Hume, Richard J. Edson
Respondent(s): Deutsche Bank Securities., Fred Crozier, William Conn
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Harvey C. Flodin, Anatoly "Tony" Zuban, James J. Dobbin
Hearing Site: San Diego, CA
Checkmark Icon$500,000
08-0027311/25/2009Claimant(s): Edmund Gann, Edmund A. Gann Trustee
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Andrew Geller, James Shelburne, UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb, Payne L. Templeton
Arbitrator(s): Judith A. Gust, Robert L. Levin, Joseph T. Donnantuoni
Hearing Site: San Diego, CA
Checkmark Icon$60,000
09-0102011/24/2009Claimant(s): John Stahl
Claimant Lawyers(s): John K Stahl
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): James H. Bowersox
Hearing Site: San Diego, CA
Checkmark Icon$213
07-0339111/17/2009Claimant(s): Dawn Maywood, Sami Maywood
Claimant Lawyers(s): Vincent D. Slavens
Respondent(s): Michael Berteletti, J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Michael Bertel, Paul J. Schumacher
Arbitrator(s): Jerome M. Libenson, Houston Allen Goddard, John Scott Carter
Hearing Site: San Diego, CA
Checkmark IconStipulated Award and Expungement
09-0208611/02/2009Claimant(s): Raymond Yorke
Claimant Lawyers(s): Raymond Yorke
Respondent(s): Wells Fargo Investments, Darrell Hesford
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
Checkmark Icon$0

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