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FINRA Awards for San Diego, CA

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Displaying 361-370 out of 379 results
Case Number Award Date Case Summary Customer Case? Amount Granted
06-0529508/29/2008Claimant(s): Curt Reed
Claimant Lawyers(s): Lawrence J. Fossi
Respondent(s): Lincoln Financial Advisors Corporation, The Lincoln National Life Insurance Co
Respondent Lawyers(s): David J. Novotny
Arbitrator(s): Dennis Michael Kelleher, Joseph J. Woodford, Michael D. Briggs
Hearing Site: San Diego, CA
06-0230408/15/2008Claimant(s): Norman Hellerud
Claimant Lawyers(s): Patrick N. Keegan
Respondent(s): Bruce Oakes
Respondent Lawyers(s): Bruce D. Oakes
Arbitrator(s): Stephen R. Clark, James O. Johnson, Vytas Tarulis
Hearing Site: San Diego, CA
Checkmark Icon$0
06-0530608/07/2008Claimant(s): Gustavo Vildosola Castro, Lorenza de Vildosola, Gustavo Vildosola & Lorenza Ramos de V
Claimant Lawyers(s): Richard A. Heller, Vincent D. Slavens
Respondent(s): Citigroup Global Markets., Juan Cabanas-Vildosola, UBS Financial Services Inc.
Respondent Lawyers(s): Gilbert R. Serota, Samuel A. Keesal
Arbitrator(s): Guenter S. Cohn, Doris V. Knotter, James Paul Estes
Hearing Site: San Diego, CA
Checkmark Icon$0
07-0193007/18/2008Claimant(s): Allyn Pon
Claimant Lawyers(s): Vincent D. Slavens
Respondent(s): FIMAT USA
Respondent Lawyers(s): John W. Cotton
Arbitrator(s): James H. Bowersox, Ronald O. Bub, D. Brad Callen
Hearing Site: San Diego, CA
Checkmark Icon$0
07-0144706/04/2008Claimant(s): William Buechler
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Wachovia Securities, Wachovia Corporation
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Guenter S. Cohn, Anatoly "Tony" Zuban, Duane Ted Wolfe
Hearing Site: San Diego, CA
07-0317906/04/2008Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Jim Madaffer
Respondent Lawyers(s): Jim Madaffer
Arbitrator(s): Evan A. Gould
Hearing Site: San Diego, CA
Checkmark Icon$0
07-0317104/10/2008Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): John Stein
Respondent Lawyers(s): John Stein
Arbitrator(s): Harvey C. Flodin
Hearing Site: San Diego, CA
Checkmark Icon$0
07-0232903/25/2008Claimant(s): Dave Schutz
Claimant Lawyers(s): Steven M. Green
Respondent(s): Mark Gundy, A.G. Edwards & Sons.
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Janice L. Sperow
Hearing Site: San Diego, CA
Checkmark Icon$425
04-0124803/19/2008Claimant(s): Piper Jaffray & Co.
Claimant Lawyers(s): Elizabeth H. Lindh
Respondent(s): Alan Fishman
Respondent Lawyers(s): R. Craig Zafis
Arbitrator(s): James J. Dobbin, Harris J. Howard, Robert Jay Filderman
Hearing Site: San Diego, CA
07-0240503/17/2008Claimant(s): Leonard W. Krouner
Claimant Lawyers(s): Leonard W. Krouner
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Lester G. Stiel
Hearing Site: San Diego, CA
Checkmark Icon$2,475

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