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FINRA Awards for Lars Soreide

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Displaying 10 out of 19 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0217208/19/2024Claimant(s): Neil Engel
Claimant Lawyers(s): Lars Soreide
Respondent(s): Citigroup Global Markets., Thomas Tibaldi
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Mary Julia O'Connell
Hearing Site: New York, NY
Checkmark IconExpungement
22-0169906/10/2024Claimant(s): The Estate of Margaret Mahaney-Smith
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC, Frederick Arbusto
Respondent Lawyers(s): John W. Joyce
Arbitrator(s): Jo-Marie Lisa, Lynne M. Gomez, Imre Stephen Szalai
Hearing Site: New Orleans, LA
Checkmark IconExpungement
23-0004403/29/2024Claimant(s): Danielle Azadian
Claimant Lawyers(s): Lars Soreide
Respondent(s): Peter Janssen, Katalyst Securities Llc
Respondent Lawyers(s): Philip Kempisty, Walter J. Mathews
Arbitrator(s): Lita S. Menkin, Gia B. Compton, Jeffrey Alperin
Hearing Site: Atlanta, GA
Checkmark Icon$46,440
22-0130902/12/2024Claimant(s): Christine Moullet
Claimant Lawyers(s): Lars Soreide
Respondent(s): IFP Advisors, IFP Securities
Respondent Lawyers(s): Peter Lindholm
Arbitrator(s): John P. Cullem, Philip Whitworth Engle, Lisa J. Cappalli
Hearing Site: Orlando, FL
Checkmark IconExpungement
22-0262309/18/2023Claimant(s): Charles Irvine
Claimant Lawyers(s): Lars Soreide
Respondent(s): Geneos Wealth Management
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Sandra L. Malek, Franklin Delano Dodge, Blake Rayfield
Hearing Site: Phoenix, AZ
Checkmark IconExpungement
21-0030508/31/2022Claimant(s): Gene Lindenboom, Mary Lindenboom
Claimant Lawyers(s): Lars Soreide
Respondent(s): Justin Dolan, Cetera Advisors LLC
Respondent Lawyers(s): Elaine Rice
Arbitrator(s): Brian Michael Kane, Philip William Vineyard, Donald Gene Tanner
Hearing Site: Jacksonville, FL
Checkmark IconExpungement
21-0176808/25/2022Claimant(s): Tricia Wilson
Claimant Lawyers(s): Lars Soreide
Respondent(s): Clarissa Beltran, Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): James Wallace Boeckman, G. Dennis Sheehan, James Douglas Gaughan
Hearing Site: Houston, TX
Checkmark IconExpungement
19-0314812/22/2021Claimant(s): Scort, C.A.
Claimant Lawyers(s): Lars Soreide
Respondent(s): Morgan Stanley, Paquita Holder
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Mark C. Perry, Daniel Joseph Chiodo, Mary C. Walsh
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
20-0139109/24/2021Claimant(s): Andrew McLean, Susan McLean
Claimant Lawyers(s): Lars Soreide
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Dora M. Lassinger, Howard S. Quinn, Marion F. Posner
Hearing Site: New York, NY
Checkmark IconExpungement
20-0338009/14/2021Claimant(s): Randal Kertzman
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Paul Lansing
Hearing Site: Indianapolis, IN
Checkmark IconExpungement

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