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FINRA Awards for Robert J. Saex

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0479009/15/2009Claimant(s): Charles E. Solak 401K Profit Sharing Pla
Claimant Lawyers(s): Charles E. Solak
Respondent(s): Jeffrey Parr, John Shaw, Thomas Weisel Partners LLC
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Charles Hoffman, Robert J. Saex, Michael S. Kozlow
Hearing Site: Ft. Lauderdale, FL
Checkmark Icon$0
08-0091102/04/2009Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Ladd Aliff
Respondent Lawyers(s): Lawrence Duffy
Arbitrator(s): Ralph H. Emer, Richard E. Conner, Robert J. Saex
Hearing Site: Boca Raton, FL

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