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FINRA Awards for Charles Laverty

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0322005/18/2017Claimant(s): Angelina Gerber, Harvey Gerber, H&A Gerber Trust dated 7/5/2005, The Lambert Family Trust dd 11/4/2007
Claimant Lawyers(s): Philip Aidikoff, Ryan K. Bakhtiari
Respondent(s): Charles Laverty, Oppenheimer & Co.., UBS Financial Services Inc.
Respondent Lawyers(s): Gary R. Wallace, Neal S. Robb, Robert B. Ericson
Arbitrator(s): Elliott Zachary Seff, Arthur T. Berggren, Cherie S. Lewis
Hearing Site: Los Angeles, CA
Checkmark Icon$1,379,400
08-0278908/21/2009Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Patrick J. Folan
Respondent(s): Charles Laverty
Respondent Lawyers(s): Zachary R. Smith
Arbitrator(s): Basil Lewis, Mark A. Levy, Ronald F. Rybandt
Hearing Site: Los Angeles, CA

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