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FINRA Awards for John Orcutt

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0352405/11/2015Claimant(s): John Orcutt, UBS Financial Services Inc.
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Earl Flowers
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Elizabeth A. Copley, Steven A. Wawra, James M. Goldberg
Hearing Site: Los Angeles, CA
Expungement
13-0315305/29/2014Claimant(s): John Orcutt, UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Fred Mandell
Respondent Lawyers(s): Jonathan W. Evans
Arbitrator(s): Herbert Murez, Salvatore A. Sciortino, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
Expungement
13-0197303/06/2014Claimant(s): John Orcutt, UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McClelland Montgomery
Respondent(s): Mark Klein
Respondent Lawyers(s): Christopher J. Gray
Arbitrator(s): Thomas E. Shuck, Annette Gres Shepherd, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
Expungement

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