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FINRA Awards for Richard M. Norman

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Displaying 10 out of 26 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0209011/23/2020Claimant(s): Colleen Simmons, Kenneth Thompson, Kenneth P. Thompson ROTH IRA, Simmons Living Trust U/A 08/30/02, Thompson Living Trust U/A 05/31/02
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Hightower Securities, Hightower Advisors
Respondent Lawyers(s): Matthew B. Henneman
Arbitrator(s): Richard M. Norman, Robert E. Jenks, Milton N. Gross
Hearing Site: Los Angeles, CA
Checkmark IconSettlement
19-0046710/16/2019Claimant(s): Jerald Halverson, Michael Winn
Claimant Lawyers(s): Jeffrey K. Riffer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Elyse W. Whitehead
Arbitrator(s): Robert D. Sussin, Christine A. Page, Richard M. Norman
Hearing Site: Los Angeles, CA
17-0079107/01/2019Claimant(s): Mansoor Karamooz, Trustee
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Richard M. Norman, Edward H. Davis, Barry A. Fisher
Hearing Site: Los Angeles, CA
Checkmark Icon$209,482
18-0249306/20/2019Claimant(s): Arthur Rahmani, Jacqueline Palmer
Claimant Lawyers(s): Jackie Palmer
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): Richard M. Norman, Thomas R. Watkins, Abraham Semaila Kamara
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
19-0010105/03/2019Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Ryan Capatosto
Respondent Lawyers(s): Ryan Lawrence Capatosto
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
18-0142204/17/2019Claimant(s): Jimmy Suh
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrew M. DeLucia
Arbitrator(s): Richard M. Norman, David S. Harrison, Norman Michael Garland
Hearing Site: Los Angeles, CA
14-0236810/05/2017Claimant(s): Myron Allen, Myron Allen IRA
Claimant Lawyers(s): Thomas Gruenbeck
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Richard M. Norman, Gregory Douglas Stone, Holly Banafsheh
Hearing Site: Los Angeles, CA
Checkmark Icon$0
15-0228509/21/2017Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ameriprise Financial Services., Li-Lin Hsu, American Express Financial Corporation
Respondent Lawyers(s): Chad Weaver, Li-Lin Hsu
Arbitrator(s): Richard M. Norman, Kirtley M. Thiesmeyer, Lorraine Woodwark
Hearing Site: Los Angeles, CA
Checkmark IconSettlement
16-0082608/23/2017Claimant(s): Charles Morgan, Charles W. Morgan Revocable Living Trust
Claimant Lawyers(s): Charles W. Morgan
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie, Esq.
Arbitrator(s): Michael Harrison, Richard M. Norman, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
17-0027306/23/2017Claimant(s): Simco Company
Claimant Lawyers(s): Bruce Simon
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
Checkmark Icon$0

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